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Filing Details

Accession Number:: 0001225208-20-014951
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-12-21 17:57:37
Reporting Period:: 2020-12-17

Accepted Time:: 2020-12-21 17:57:37
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	Explanation
Eaton Vance Corp. Non-Voting Common Stock	Disposition	2020-12-17	98,936	$65.66	0	No	4	S	Indirect	Stock Option Income Deferral

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	Stock Option Income Deferral

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	Restricted Stock Unit	Acquisiton	2020-12-18	6,248	$0.00	6,248	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
102,227			No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Eaton Vance Corp. Non-Voting Common Stock	3,269,122	Direct
Voting Trust Receipt	74,277	Direct
Eaton Vance Corp. Non-Voting Common Stock	6,200	Indirect	by Child/Children
Eaton Vance Corp. Common Stock (Voting)	74,277	Indirect	By Voting Trust

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)	$24.46	2021-11-01	310,602	310,602	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)	$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
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$45.50	2028-11-01	314,940	314,940	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$46.15	2029-11-01	331,065	331,065	Direct
Eaton Vance Corp. Non-Voting Common Stock	Option (right to buy)	$50.67	2027-11-01	233,440	233,440	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-11-01	310,602	310,602	Direct
2022-11-01	258,412	258,412	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
2028-11-01	314,940	314,940	Direct
2029-11-01	331,065	331,065	Direct
2027-11-01	233,440	233,440	Direct

Footnotes

Shares sold to cover tax obligation as a result of the termination of the Stock Option Income Deferral Plan.
A change in ownership from Indirect to Direct occurred on 124,144 shares as a result of the termination of the Stock Option Income Deferral Plan.
The reporting person no longer has a reportable beneficial interest in 6,200 shares previously included as Indirect ownership by Custodian for Children in the reporting person's ownership reports.
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, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami, Eric A. Stein, Andrew N. Sveen, Paul W. Bouchey, John Streur, Thomas B. Lee and Thomas C. Seto are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock
As dividends are paid with respect to Company Non-Voting Common Stock, a dividend equivalent will be credited with respect to the Participants Restricted Stock Unit Award outstanding on the dividend record date and reinvested in the form of additional Restricted Stock Units.
Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023
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 1, 2012 these options 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%.
Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 1, 2019 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.