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WHITAKER WHARTON P 4/A

Accession 0000350797-03-000039

CIK 0000350797other
View on SEC.govCompany Profile

Filed

Nov 5, 7:00 PM ET

Accepted

Nov 6, 3:18 PM ET

Size

16.1 KB

Accession

0000350797-03-000039

Insider Transaction Report

Form 4/AAmended
Period: 2003-11-03
EATON VANCE CORPEV
WHITAKER WHARTON P
President, EV Distributors
Transactions
  • 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

  • Eaton Vance Corp. Common Stock (Voting)

    (indirect: By Trust)
    18,558

  • Eaton Vance Corp. Non-voting Common Stock

    (indirect: Stock Option Income Deferral)
    30,705

  • Option (right to buy)

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

  • Voting Trust Receipt

    18,558

  • 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

  • Option (right to buy)

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

  • Eaton Vance Corp. Non-voting Common Stock

    650,028
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]Amendment made to the Eaton Vance Corp. Non-voting common stock indirect holdings (Stock Option Income Deferral). The balance carried forward was reported directly from Mr. Whitaker's Form 4 dated December 3, 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 typeother

Related Parties

1
  • filerCIK 0001226183

Filing Metadata

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