Filing Details
- Accession Number:
- 0001225208-11-024386
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-04 15:44:26
- Reporting Period:
- 2011-11-04
- Filing Date:
- 2011-11-04
- Accepted Time:
- 2011-11-04 15:44:26
- 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 |
|---|---|---|---|---|---|---|---|
| 1312144 | J Robert Whelan | Two International Place Eaton Vance Boston MA 02110 | Chief Financial Officer | No | Yes | 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 | Disposition | 2011-11-04 | 1,063 | $26.08 | 59,032 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | 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) | $45.22 | 2017-07-11 | 14,143 | 14,143 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $48.39 | 2017-11-01 | 15,700 | 15,700 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $29.39 | 2020-11-01 | 25,400 | 25,400 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $25.06 | 2021-11-01 | 36,020 | 36,020 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $28.17 | 2019-11-02 | 28,120 | 28,120 | Direct | |
| Eaton Vance Corp. Non-Voting Common Stock | Option (right to buy) | $21.99 | 2018-11-03 | 32,700 | 32,700 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-07-11 | 14,143 | 14,143 | Direct |
| 2017-11-01 | 15,700 | 15,700 | Direct |
| 2020-11-01 | 25,400 | 25,400 | Direct |
| 2021-11-01 | 36,020 | 36,020 | Direct |
| 2019-11-02 | 28,120 | 28,120 | Direct |
| 2018-11-03 | 32,700 | 32,700 | Direct |
Footnotes
- These shares were sold to cover the tax liability associated with a restricted stock vesting event.
- Granted on July 11, 2007 these options vest over a 5 year period starting in 2008 in increments of 10%, 15%, 20%, 25%, and 30%
- Granted on November 1, 2007 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, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 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 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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