Filing Details

Accession Number:
0001225208-16-040823
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-31 12:46:34
Reporting Period:
2016-10-27
Filing Date:
2016-10-31
Accepted Time:
2016-10-31 12:46:34
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
1225367 Jr E Thomas Faust Two International Place
Eaton Vance
Boston MA 02110
Ceo Yes Yes 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 2015-11-02 303 $32.50 2,589,258 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2015-12-18 4,800 $0.00 2,658,566 No 5 G Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2016-02-16 14,077 $25.99 2,672,643 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2016-05-02 340 $31.08 2,672,983 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2016-05-16 223 $26.52 2,673,206 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2016-08-16 190 $31.07 2,673,396 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2016-10-27 187,889 $29.39 2,861,285 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2016-10-27 166,789 $35.94 2,694,496 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 A Direct
No 5 G Direct
No 5 A Direct
No 5 A Direct
No 5 A Direct
No 5 A Direct
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 2016-10-27 187,889 $0.00 187,889 $29.39
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
28,086 2016-11-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Trust Receipt 74,277 Direct
Eaton Vance Corp. Non-Voting Common Stock 6,200 Indirect by Child/Children
Eaton Vance Corp. Non-Voting Common Stock 6,200 Indirect By Custodian For Children
Eaton Vance Corp. Common Stock (Voting) 74,277 Indirect By Voting Trust
Eaton Vance Corp. Non-Voting Common Stock 223,080 Indirect Stock Option Income Deferral
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 2017-11-01 286,259 286,259 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.69 2020-11-01 237,921 237,921 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.46 2021-11-01 310,602 310,602 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.23 2022-11-01 258,412 258,412 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2023-11-01 221,260 221,260 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $27.50 2019-11-02 209,971 209,971 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.76 2025-11-02 358,340 358,340 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.46 2018-11-03 243,945 243,945 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.71 2024-11-03 342,640 342,640 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-11-01 286,259 286,259 Direct
2020-11-01 237,921 237,921 Direct
2021-11-01 310,602 310,602 Direct
2022-11-01 258,412 258,412 Direct
2023-11-01 221,260 221,260 Direct
2019-11-02 209,971 209,971 Direct
2025-11-02 358,340 358,340 Direct
2018-11-03 243,945 243,945 Direct
2024-11-03 342,640 342,640 Direct
Footnotes
  1. These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
  2. These shares were acquired under the 2013 Incentive Compensation Employee Stock Purchase Plan, which is a 16b-3 Plan.
  3. These shares were sold to cover exercise cost and tax liability for exercising a NQ stock option.
  4. All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Thomas E. Faust, Jeffrey P. Beale, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  5. Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  6. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  7. These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  8. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  9. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  10. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  11. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  12. Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  13. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  14. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.