Filing Details
- Accession Number:
- 0001225208-20-004637
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-09 15:44:01
- Reporting Period:
- 2020-03-09
- Accepted Time:
- 2020-03-09 15:44:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1287807 | Jr H Winthrop Smith | Two International Place Eaton Vance Boston MA 02110 | Yes | No | 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 | 2020-03-09 | 5,000 | $35.61 | 24,000 | No | 4 | P | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Acquisiton | 2020-03-09 | 5,000 | $34.93 | 29,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Eaton Vance Corp. Non-Voting Common Stock | Deferred Stock | $0.00 | 6,273 | 6,273 | Direct | ||
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $34.84 | 2016-11-01 | 2026-11-01 | 11,777 | 11,777 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.71 | 2014-11-03 | 2024-11-03 | 5,737 | 5,737 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $36.76 | 2015-11-02 | 2025-11-02 | 7,451 | 7,451 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $41.90 | 2013-11-01 | 2023-11-01 | 4,045 | 4,045 | Direct |
| Eaton Vance Corp. Non-Voting Common Stock | Phantom Stock | $0.00 | 2,959 | 2,959 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 6,273 | 6,273 | Direct | |
| 2026-11-01 | 11,777 | 11,777 | Direct |
| 2024-11-03 | 5,737 | 5,737 | Direct |
| 2025-11-02 | 7,451 | 7,451 | Direct |
| 2023-11-01 | 4,045 | 4,045 | Direct |
| 2,959 | 2,959 | Direct |
Footnotes
- Each share of Deferred Stock is the economic equivalent of one share of non-voting common stock.
- Shares of Deferred Stock become payable in cash based on the non-employee director's election at either (1) the earlier of the second anniversary of the grant date or the date of the non-employee director's termination, or (2) upon the non-employee director's termination.
- Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
- The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.
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