Filing Details

Accession Number:
0001225208-18-016983
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-20 21:33:50
Reporting Period:
2018-11-15
Accepted Time:
2018-12-20 21:33:50
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
1402398 J Matthew Witkos 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 Acquisiton 2018-11-15 21 $43.66 344 No 4 P Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Eaton Vance Corp. Non-Voting Common Stock 230,310 Direct
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) $24.46 2021-11-01 4,088 4,088 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.23 2022-11-01 33,411 33,411 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $28.69 2020-11-01 30,673 30,673 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $34.84 2026-11-01 127,340 127,340 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.71 2024-11-03 108,580 108,580 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $36.76 2025-11-02 105,220 105,220 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $41.90 2023-11-01 91,760 91,760 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $45.50 2028-11-01 106,520 106,520 Direct
Eaton Vance Corp. Non-Voting Common Stock Option (right to buy) $50.67 2027-11-01 79,660 79,660 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-11-01 4,088 4,088 Direct
2022-11-01 33,411 33,411 Direct
2020-11-01 30,673 30,673 Direct
2026-11-01 127,340 127,340 Direct
2024-11-03 108,580 108,580 Direct
2025-11-02 105,220 105,220 Direct
2023-11-01 91,760 91,760 Direct
2028-11-01 106,520 106,520 Direct
2027-11-01 79,660 79,660 Direct
Footnotes
  1. Transaction reported on this Form 4 represents acqusition under a broker-sponsored dividend program.
  2. The total number of shares indirectly owned (by the Trust) is 2,694 after giving effect to the transaction reported on this Form 4. This number includes 2,350 shares previously reported as directly owned. The amount otherwise appearing in column 5 is automatically generated by the software used to prepare this report and does not reflect all indirect holdings as of the date of the transaction being reported.
  3. 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, 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.
  4. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
  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 November 1, 2010, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  7. Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  8. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  9. Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  10. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  11. Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  12. Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.