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EATON VANCE CORP 4/A

Accession 0000350797-03-000038

CIK 0000350797operating
View on SEC.govCompany Profile

Filed

Nov 5, 7:00 PM ET

Accepted

Nov 6, 3:18 PM ET

Size

16.3 KB

Accession

0000350797-03-000038

Insider Transaction Report

Form 4/AAmended
Period: 2003-11-03
EATON VANCE CORPEV
STEUL WILLIAM M
Chief Financial Officer
Transactions
  • Award

    Option (right to buy)

    2003-11-03+40,300→ 40,300 total
    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (40,300 underlying)
Holdings

  • Voting Trust Receipt

    18,558

  • Option (right to buy)

    Exercise: $11.47Exp: 2006-11-02→ Eaton Vance Corp. Non-voting Common Stock (28,490 underlying)
    28,490

  • Option (right to buy)

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

  • 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

  • Eaton Vance Corp. Non-voting Common Stock

    230,077

  • Eaton Vance Corp. Non-voting Common Stock

    (indirect: Stock Option Income Deferral)
    40,661
Footnotes (16)
  • [F1]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.
  • [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]Amendments made to the Eaton Vance Corp. Non-voting common stock direct holdings and the Eaton Vance Corp. Non-voting common stock indirect holdings (Stock Option Income Deferral). The balances carried forward were reported directly from Mr. Steul's Form 4 dated December 2, 2002 and failed to reflect his updated holdings, which were reported on his Form 5 filed December 14, 2002.
  • [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

1 file

Issuer

EATON VANCE CORP

CIK 0000350797

→
Entity typeoperating
IncorporatedMD

Related Parties

1
  • filerCIK 0000350797

Filing Metadata

Form type
4/A
Filed
Nov 5, 7:00 PM ET
Accepted
Nov 6, 3:18 PM ET
Size
16.3 KB
View on SEC.gov