Filing Details

Accession Number:
0001225208-12-016208
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-07-12 16:42:06
Reporting Period:
2012-07-12
Filing Date:
2012-07-12
Accepted Time:
2012-07-12 15:42:06
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
1402398 J Matthew Witkos Two International Place
Eaton Vance
Boston MA 02110
No No No Yes
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 2011-11-01 527 $23.66 94,480 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2011-11-18 5,727 $24.25 95,692 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2012-07-12 789 $26.19 94,903 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 A Direct
No 5 A Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Trust Receipt 18,623 Direct
Eaton Vance Corp. Common Stock (Voting) 18,623 Indirect By Voting Trust
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) $45.22 2017-07-11 23,572 23,572 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $48.39 2017-11-01 26,200 26,200 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $29.39 2020-11-01 88,500 88,500 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $25.06 2021-11-01 132,400 132,400 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.17 2019-11-02 40,520 40,520 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.99 2018-11-03 44,600 44,600 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-07-11 23,572 23,572 Direct
2017-11-01 26,200 26,200 Direct
2020-11-01 88,500 88,500 Direct
2021-11-01 132,400 132,400 Direct
2019-11-02 40,520 40,520 Direct
2018-11-03 44,600 44,600 Direct
Footnotes
  1. These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
  2. These shares were acquired under the 1992 Incentive Stock Alternative Plan, which is a 16b-3 plan.
  3. These shares were sold to cover the tax liability associated with a restricted stock vesting event.
  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, Duncan R. Richardson, Jeffrey P. Beale, David C. McCabe, Payson F. Swaffield, Laurie G. Hylton, Matthew J. Witkos, Frederick S. Marius, Maureen Gemma, Cynthia J. Clemson, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Judith R. Saryan, Michael W. Weilheimer, Walter A. Row, Mark S. Venezia, David A. Stein, Brian D. Langstraat, and Daniel C. Cataldo are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  5. Granted on July 11, 2007 these options vest over a 5 year period starting in 2008 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%, an 30%.
  9. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  10. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.