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Filing Details

Accession Number:
0001225208-13-008604
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-28 17:13:17
Reporting Period:
2013-03-27
Filing Date:
2013-03-28
Accepted Time:
2013-03-28 17:13:17
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
1245652 G Laurie Hylton Two International Place
Eaton Vance
Boston MA 02110
Chief Financial 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 Disposition 2012-12-20 1,580 $0.00 112,321 No 5 G Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2013-03-27 40,778 $17.09 153,099 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2013-03-27 2,423 $41.26 150,676 No 4 F Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2013-03-27 23,278 $41.11 127,398 No 4 S Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2012-12-20 1,580 $0.00 6,380 No 5 G Indirect By Custodian For Children
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Direct
No 4 M Direct
No 4 F Direct
No 4 S Direct
No 5 G Indirect By Custodian For Children
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 2012-12-14 40,778 $0.00 40,778 $21.43
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 35,143 $0.00 35,143 $24.27
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 31,864 $0.00 31,864 $29.39
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 19,672 $0.00 19,672 $47.23
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 10,594 $0.00 10,594 $28.69
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 11,455 $0.00 11,455 $24.46
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 20,861 $0.00 20,861 $28.23
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 11,722 $0.00 11,722 $27.50
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 40,778 $0.00 40,778 $17.09
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Acquisiton 2012-12-14 13,730 $0.00 13,730 $21.46
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) Disposition 2013-03-27 40,778 $0.00 40,778 $17.09
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
40,778 2014-11-01 No 5 A Direct
35,143 2015-11-01 No 5 A Direct
31,864 2016-11-01 No 5 A Direct
19,672 2017-11-01 No 5 A Direct
10,594 2020-11-01 No 5 A Direct
11,455 2021-11-01 No 5 A Direct
20,861 2022-11-01 No 5 A Direct
11,722 2019-11-02 No 5 A Direct
40,778 2013-11-03 No 5 A Direct
13,730 2018-11-03 No 5 A Direct
0 2013-11-03 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
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 W. Richardson, Jeffrey P. Beale, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Daniel C. Cataldo, Cynthia J. Clemson, Brian D. Laagstraat, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Walter A. Row, Judith R. Saryan, David M. Stein, and Michael Weilheimer are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  3. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
  4. Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  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%, an 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 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%.