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Filing Details

Accession Number:: 0001225208-17-015211
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-09-25 13:00:56
Reporting Period:: 2017-09-22

Accepted Time:: 2017-09-25 13:00:56
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
1225367	Jr E Thomas Faust	Two International Place Eaton Vance Boston MA 02110	Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2016-11-01	360	$31.21	2,697,576	No	5	A	Direct
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2016-11-16	172	$34.45	2,732,354	No	5	A	Direct
Eaton Vance Corp. Non-Voting Common Stock	Disposition	2016-12-19	3,600	$0.00	2,728,754	No	5	G	Direct
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2017-02-16	7,481	$36.13	2,736,235	No	5	A	Direct
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2017-05-01	358	$31.36	2,736,593	No	5	A	Direct
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2017-05-16	160	$39.04	2,736,753	No	5	A	Direct
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2017-08-16	153	$40.72	2,736,906	No	5	A	Direct
Eaton Vance Corp. Non-Voting Common Stock	Acquisiton	2017-09-22	75,000	$47.23	2,811,906	No	4	M	Direct
Eaton Vance Corp. Non-Voting Common Stock	Disposition	2017-09-22	73,982	$48.20	2,737,924	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	5	A	Direct
No	5	A	Direct
No	5	G	Direct
No	5	A	Direct
No	5	A	Direct
No	5	A	Direct
No	5	A	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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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	2017-09-22	75,000	$0.00	75,000	$47.23

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
211,259		2017-11-01	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Voting Trust Receipt	74,277	Direct
Eaton Vance Corp. Non-Voting Common Stock	6,200	Indirect	by Child/Children
Eaton Vance Corp. Non-Voting Common Stock	6,200	Indirect	By Custodian For Children
Eaton Vance Corp. Common Stock (Voting)	74,277	Indirect	By Voting Trust
Eaton Vance Corp. Non-Voting Common Stock	223,080	Indirect	Stock Option Income Deferral

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$21.46	2018-11-03	243,945	243,945	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$24.46	2021-11-01	310,602	310,602	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$27.50	2019-11-02	209,971	209,971	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$28.23	2022-11-01	258,412	258,412	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$28.69	2020-11-01	237,921	237,921	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$34.84	2026-11-01	446,700	446,700	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$36.71	2024-11-03	342,640	342,640	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$36.76	2025-11-02	358,340	358,340	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$41.90	2023-11-01	221,260	221,260	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2018-11-03	243,945	243,945	Direct
2021-11-01	310,602	310,602	Direct
2019-11-02	209,971	209,971	Direct
2022-11-01	258,412	258,412	Direct
2020-11-01	237,921	237,921	Direct
2026-11-01	446,700	446,700	Direct
2024-11-03	342,640	342,640	Direct
2025-11-02	358,340	358,340	Direct
2023-11-01	221,260	221,260	Direct

Footnotes

These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
These shares were acquired under the 2013 Incentive Compensation Employee Stock Purchase Plan, which is a 16b-3 Plan.
Shares were sold to cover the exercise cost and tax liability associated with the exercise of a NQ stock option.
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.
Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.