Filing Details

Accession Number:
0001225208-16-039566
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-09-21 15:01:15
Reporting Period:
2016-09-19
Filing Date:
2016-09-21
Accepted Time:
2016-09-21 15:01:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
350797 Eaton Vance Corp EV Investment Advice (6282) 042718215
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1200493 E Dorothy Puhy Two International Place
Eaton Vance
Boston MA 02110
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2016-09-19 8,197 $29.39 15,787 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2016-09-19 6,197 $38.75 9,590 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2016-09-19 8,197 $0.00 8,197 $29.39
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2006-11-01 2016-11-01 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $47.23 2007-11-01 2017-11-01 6,865 6,865 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.69 2010-11-01 2020-11-01 4,902 4,902 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.46 2011-11-01 2021-11-01 6,420 6,420 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.23 2012-11-01 2022-11-01 5,680 5,680 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2013-11-01 2023-11-01 4,045 4,045 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $27.50 2009-11-02 2019-11-02 4,883 4,883 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.76 2015-11-02 2025-11-02 7,451 7,451 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.71 2014-11-03 2024-11-03 5,737 5,737 Direct
Eaton Vance Corp. Non-Voting Common Stock Phantom Stock $0.00 2017-11-02 2017-11-02 1,534 1,534 Direct
Eaton Vance Corp. Non-Voting Common Stock Phantom Stock $0.00 2016-11-03 2016-11-03 1,437 1,437 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-11-01 6,865 6,865 Direct
2020-11-01 4,902 4,902 Direct
2021-11-01 6,420 6,420 Direct
2022-11-01 5,680 5,680 Direct
2023-11-01 4,045 4,045 Direct
2019-11-02 4,883 4,883 Direct
2025-11-02 7,451 7,451 Direct
2024-11-03 5,737 5,737 Direct
2017-11-02 1,534 1,534 Direct
2016-11-03 1,437 1,437 Direct
Footnotes
  1. Shares were sold to cover the cost of exercising a NQ stock option.
  2. Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. The shares of Phantom Stock become payable in cash at the earlier of the second anniversary of the grant date or the date of the non-employee director's termination.