Filing Details

Accession Number:
0001225208-12-020161
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-09-27 11:07:57
Reporting Period:
2012-09-26
Filing Date:
2012-09-27
Accepted Time:
2012-09-27 11:07:57
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
1225381 F Payson Swaffield 255 State Street
Boston MA 02109
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 2012-09-26 134,328 $14.55 532,436 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2012-09-26 95,975 $28.63 436,461 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 2012-09-26 134,328 $0.00 134,328 $14.55
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2012-11-01 No 4 M 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) $21.96 2014-11-01 132,046 132,046 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.87 2015-11-01 109,580 109,580 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $30.11 2016-11-01 105,400 105,400 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $48.39 2017-11-01 73,300 73,300 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $29.39 2020-11-01 83,720 83,720 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $25.06 2021-11-01 139,320 139,320 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.17 2019-11-02 60,760 60,760 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $17.51 2013-11-03 130,690 130,690 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.99 2018-11-03 71,400 71,400 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-11-01 132,046 132,046 Direct
2015-11-01 109,580 109,580 Direct
2016-11-01 105,400 105,400 Direct
2017-11-01 73,300 73,300 Direct
2020-11-01 83,720 83,720 Direct
2021-11-01 139,320 139,320 Direct
2019-11-02 60,760 60,760 Direct
2013-11-03 130,690 130,690 Direct
2018-11-03 71,400 71,400 Direct
Footnotes
  1. Shares were sold to cover cost and tax liability for exercising a NQ stock option.
  2. 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 Richardson, Jeffrey P. Beale, David C. McCabe, Payson F. Swaffield, Robert J. Whelan, Matthew J. Witkos, Maureen Gemma, Frederick S. Marius, Cynthia Clemson, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Judith R. Saryan, Michael Weilheimer, Walter Row, Mark Venezia, David Stein, and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  3. Granted on November 1, 2002, these options vest over a 5 year period at 20% per year.
  4. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
  5. Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  6. Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  7. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  8. These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  9. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
  10. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  11. Granted on November 3, 2003, these options vest over a 5 year period at 20% per year.
  12. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.