Filing Details

Accession Number:
0001225208-12-021036
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-10-05 13:10:17
Reporting Period:
2012-10-04
Filing Date:
2012-10-05
Accepted Time:
2012-10-05 12:10:17
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
1257596 W Duncan Richardson Two International Place
Eaton Vance
Boston MA 02110
Executive Vice President 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 2011-11-01 527 $26.29 775,444 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2012-05-01 553 $26.30 775,997 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2012-10-04 275,728 $14.55 1,051,725 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2012-10-04 6,872 $14.55 1,058,597 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2012-10-04 232,600 $28.88 825,997 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 A Direct
No 5 A Direct
No 4 M 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 2012-10-04 6,872 $0.00 6,872 $14.55
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2012-10-04 275,728 $0.00 275,728 $14.55
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
275,728 2012-11-01 No 4 M Direct
0 2012-11-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Trust Receipt 44,566 Direct
Eaton Vance Corp. Common Stock (Voting) 44,566 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 2014-11-01 259,600 259,600 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.87 2015-11-01 210,500 210,500 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $30.11 2016-11-01 200,800 200,800 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $48.39 2017-11-01 139,700 139,700 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $29.39 2020-11-01 142,320 142,320 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $25.06 2021-11-01 138,860 138,860 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.17 2019-11-02 128,680 128,680 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $17.51 2013-11-03 273,000 273,000 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.99 2018-11-03 142,900 142,900 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-11-01 259,600 259,600 Direct
2015-11-01 210,500 210,500 Direct
2016-11-01 200,800 200,800 Direct
2017-11-01 139,700 139,700 Direct
2020-11-01 142,320 142,320 Direct
2021-11-01 138,860 138,860 Direct
2019-11-02 128,680 128,680 Direct
2013-11-03 273,000 273,000 Direct
2018-11-03 142,900 142,900 Direct
Footnotes
  1. These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
  2. Shares were sold to cover cost and tax liability for exercising a NQ stock option.
  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%.