EATON VANCE CORP 4/A

Accession 0000350797-03-000048

CIK 0000350797operating

View on SEC.gov Company Profile

Filed

Dec 2, 7:00 PM ET

Accepted

Dec 3, 3:36 PM ET

Size

14.8 KB

Accession

0000350797-03-000048

Insider Transaction Report

Form 4/AAmended

Period: 2003-11-03

EATON VANCE CORPEV

DYNNER ALAN R

Voting Trustee

Transactions

Award
Option (right to buy)
2003-11-03+40,300→ 40,300 total
Exercise: $35.02Exp: 2013-11-03→ Eaton Vance Corp. Non-voting Common Stock (40,300 underlying)

Holdings

Option (right to buy)
Exercise: $11.47Exp: 2006-11-02→ Eaton Vance Corp. Non-voting Common Stock (40,000 underlying)
40,000
Eaton Vance Corp. Common Stock (Voting)
(indirect: By Trust)
18,558
Eaton Vance Corp. Non-voting Common Stock
182,542
Option (right to buy)
Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (30,000 underlying)
30,000
Voting Trust Receipt
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: $0.00→ Eaton Vance Corp. Non-voting Common Stock (39,200 underlying)
39,200

Footnotes (13)

[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, 1999, these options vest over a 5 year period at 20% per year.
[F11]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.
[F12]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.
[F13]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]A Voting Trust Receipt represents a share of Voting Common Stock.
[F3]Granted under the 1998 Stock Option Plan, which is a 16b-3 plan.
[F4]Granted on November 3, 2003, these options vest over a 5 year period at 20% per year.
[F5]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).
[F6]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).
[F7]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).
[F8]These options vest over a 5 year period at 20% per year.
[F9]Granted on November 2, 1998, these options vest over 5 years starting in 1999 in increments of 14%, 14%, 14%, 36%, and 22% respectively.

Documents

1 file

4
dyn74.xml

Issuer

EATON VANCE CORP

CIK 0000350797

→

Entity typeoperating

IncorporatedMD

Related Parties

filerCIK 0000350797

Filing Metadata

Form type: 4/A
Filed: Dec 2, 7:00 PM ET
Accepted: Dec 3, 3:36 PM ET
Size: 14.8 KB

View on SEC.gov