Filing Details

Accession Number:
0001225208-12-022496
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-11-06 15:33:51
Reporting Period:
2012-11-01
Filing Date:
2012-11-06
Accepted Time:
2012-11-06 15:33:51
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
1417861 S Frederick Marius Two International Place
Eaton Vance
Boston MA 02110
Chief Legal Officer No 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 $23.66 36,194 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2012-05-01 553 $22.55 35,384 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2012-11-01 8,040 $0.00 43,424 No 4 A Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2012-11-02 811 $29.17 42,613 No 4 S Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2012-11-05 1,217 $28.94 41,396 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 A Direct
No 5 A Direct
No 4 A Direct
No 4 S 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) Acquisiton 2012-11-01 28,200 $0.00 28,200 $28.92
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
28,200 2022-11-01 No 4 A 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) $18.99 2014-04-14 8,000 8,000 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.96 2014-11-01 8,200 8,200 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.87 2015-11-01 7,800 7,800 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $30.11 2016-11-01 7,500 7,500 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $48.39 2017-11-01 8,700 8,700 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $29.39 2020-11-01 18,520 18,520 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $25.06 2021-11-01 23,220 23,220 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.92 2022-11-01 28,200 28,200 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.17 2019-11-02 20,500 20,500 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $21.99 2018-11-03 23,800 23,800 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-04-14 8,000 8,000 Direct
2014-11-01 8,200 8,200 Direct
2015-11-01 7,800 7,800 Direct
2016-11-01 7,500 7,500 Direct
2017-11-01 8,700 8,700 Direct
2020-11-01 18,520 18,520 Direct
2021-11-01 23,220 23,220 Direct
2022-11-01 28,200 28,200 Direct
2019-11-02 20,500 20,500 Direct
2018-11-03 23,800 23,800 Direct
Footnotes
  1. These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
  2. Restricted Stock Award granted under the 2008 Omnibus Incentive Plan
  3. These shares were sold to cover the tax liability associated with a restricted stock vesting event.
  4. Grant amended to reflect correct conversion price of $28.92.
  5. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  6. Granted on April 14, 2004 these options vest over a 5 year period at 20% per year.
  7. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
  8. Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  9. Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  10. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  11. These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  12. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
  13. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  14. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.