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EATON VANCE CORP·4

Nov 5, 5:24 PM ET

WHITAKER WHARTON P 4

4 · EATON VANCE CORP · Filed Nov 5, 2003

Insider Transaction Report

Form 4
Period: 2003-05-01
EATON VANCE CORPEV
WHITAKER WHARTON P
President, EV Distributors
Transactions
  • Award

    Eaton Vance Corp. Non-voting Common Stock

    2003-11-03$26.56/sh+470$12,483→ 650,975 total
  • Award

    Eaton Vance Corp. Non-voting Common Stock

    2003-05-01$26.19/sh+477$12,493→ 650,505 total
  • Award

    Option (right to buy)

    2003-11-03+35,800→ 35,800 total
    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (35,800 underlying)
Holdings

  • Voting Trust Receipt

    18,558

  • Eaton Vance Corp. Non-voting Common Stock

    (indirect: Stock Option Income Deferral)
    30,506

  • Option (right to buy)

    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (30,000 underlying)
    30,000

  • Option (right to buy)

    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (39,200 underlying)
    39,200

  • Eaton Vance Corp. Common Stock (Voting)

    (indirect: By Trust)
    18,558

  • Option (right to buy)

    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (34,700 underlying)
    34,700

  • Option (right to buy)

    Exercise: $11.47Exp: 2006-11-02→ Eaton Vance Corp. Non-voting Common Stock (28,490 underlying)
    28,490
Footnotes (16)
  • [F1]These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
  • [F10]Granted on November 1, 2001, the Incentive Stock Option has an exercise price of $31.537 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $28.67 (equal to fair market value at the time of grant).
  • [F11]Granted on November 1, 2002, the Incentive Stock Option has an exercise price of $32.01 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $29.10 (equal to fair market value at the time of grant).
  • [F12]Granted on November 2, 1998, these options vest over 5 years starting in 1999 in increments of 12.33%, 12.33%, 19.33%, 34% and 22% respectively.
  • [F13]Granted on November 1, 1999, these options vest over a 5 year period at 20% per year.
  • [F14]The Incentive Stock Option has a 5 year life, expiring on November 1, 2005, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2010.
  • [F15]The Incentive Stock Option has a 5 year life, expiring on November 1, 2006, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2011.
  • [F16]The Incentive Stock Option has a 5 year life, expiring on November 1, 2007, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2012.
  • [F2]All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Mssrs. James B. Hawkes, Thomas E. Faust, Jr., Alan R. Dynner, William M. Steul, Wharton P. Whitaker, Thomas J. Fetter, Duncan W. Richardson, Jeffrey P. Beale, Scott H. Page, Payson F. Swaffield and Michael W. Weilheimer are the voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  • [F3]Shares credited under the company's Stock Option Income Deferral Plan.
  • [F4]A Voting Trust Receipt represents a share of Voting Common Stock.
  • [F5]Granted under the 1998 Stock Option Plan, which is a 16b-3 plan.
  • [F6]Granted on November 3, 2003, the Incentive Stock Option has an exercise price of $38.522 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $35.02 (equal to fair market value at the time of grant).
  • [F7]These options vest over a 5 year period at 20% per year.
  • [F8]The Incentive Stock Option has a 5 year life, expiring on November 3, 2008, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 3, 2013.
  • [F9]Granted on November 1, 2000, the Incentive Stock Option has an exercise price of $26.9844 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $24.5313 (equal to fair market value at the time of grant).

Documents

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