Filing Details

Accession Number:
0001225208-17-012617
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-17 10:51:32
Reporting Period:
2017-07-13
Filing Date:
2017-07-17
Accepted Time:
2017-07-17 10:51:32
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
1225358 P Jeffrey Beale Two International Place
Eaton Vance
Boston MA 02110
Chief Administrative 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 2016-11-01 360 $31.21 343,509 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2016-12-14 5,000 $0.00 345,601 No 5 G Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2017-05-01 358 $31.36 345,959 No 5 A Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2017-07-13 39,343 $47.23 385,302 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2017-07-13 39,343 $48.30 345,959 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 A Direct
No 5 G Direct
No 5 A 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 2017-07-13 39,343 $0.00 39,343 $47.23
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2017-11-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Voting Trust Receipt 29,389 Direct
Eaton Vance Corp. Common Stock (Voting) 29,389 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) $21.46 2018-11-03 39,651 39,651 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.46 2021-11-01 47,089 47,089 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $27.50 2019-11-02 35,410 35,410 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.23 2022-11-01 44,999 44,999 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.69 2020-11-01 31,987 31,987 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $34.84 2026-11-01 57,460 57,460 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.71 2024-11-03 52,560 52,560 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.76 2025-11-02 52,320 52,320 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2023-11-01 35,860 35,860 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-11-03 39,651 39,651 Direct
2021-11-01 47,089 47,089 Direct
2019-11-02 35,410 35,410 Direct
2022-11-01 44,999 44,999 Direct
2020-11-01 31,987 31,987 Direct
2026-11-01 57,460 57,460 Direct
2024-11-03 52,560 52,560 Direct
2025-11-02 52,320 52,320 Direct
2023-11-01 35,860 35,860 Direct
Footnotes
  1. These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
  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, Jeffrey P. Beale, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  3. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  4. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  5. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
  6. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
  7. Granted on November 1, 2012 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, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  10. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  11. Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  12. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.