Filing Details

Accession Number:
0001225208-17-016542
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-10-25 11:43:33
Reporting Period:
2017-10-24
Accepted Time:
2017-10-25 11:43:33
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
1225381 F Payson Swaffield Two International Place
Eaton Vance
Boston MA 02110
No No No Yes
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 2016-12-19 20,000 $0.00 656,162 No 5 G Direct
Eaton Vance Corp. Non-Voting Common Stock Acquisiton 2017-10-24 75,100 $47.23 731,262 No 4 M Direct
Eaton Vance Corp. Non-Voting Common Stock Disposition 2017-10-24 71,739 $51.81 659,523 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G 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 2017-10-24 75,100 $0.00 75,100 $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 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) $21.46 2018-11-03 73,154 73,154 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $24.46 2021-11-01 142,741 142,741 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $27.50 2019-11-02 62,253 62,253 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.23 2022-11-01 144,954 144,954 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.69 2020-11-01 85,776 85,776 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $34.84 2026-11-01 212,180 212,180 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.71 2024-11-03 187,600 187,600 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.76 2025-11-02 177,120 177,120 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2023-11-01 126,020 126,020 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-11-03 73,154 73,154 Direct
2021-11-01 142,741 142,741 Direct
2019-11-02 62,253 62,253 Direct
2022-11-01 144,954 144,954 Direct
2020-11-01 85,776 85,776 Direct
2026-11-01 212,180 212,180 Direct
2024-11-03 187,600 187,600 Direct
2025-11-02 177,120 177,120 Direct
2023-11-01 126,020 126,020 Direct
Footnotes
  1. Shares were sold to cover the exercise cost and tax liability associated with the exercise of 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, 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%, and 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%.