EATON VANCE CORP 4

Accession 0001225208-13-022952

CIK 0000350797operating

View on SEC.gov Company Profile

Filed

Nov 4, 7:00 PM ET

Accepted

Nov 5, 4:43 PM ET

Size

33.6 KB

Accession

0001225208-13-022952

Insider Transaction Report

Form 4

Period: 2013-11-01

EATON VANCE CORPEV

RICHARDSON DUNCAN W

Executive Vice President

Transactions

Award
Eaton Vance Corp. Non-voting Common Stock
2012-11-01$28.14/sh+524$14,745→ 871,381 total
Award
Eaton Vance Corp. Non-voting Common Stock
2013-05-01$39.88/sh+479$19,103→ 671,824 total
Tax Payment
Eaton Vance Corp. Non-voting Common Stock
2013-11-01$41.90/sh−7,329$307,085→ 684,395 total
Award
Option (right to buy)
2012-12-14+265,973→ 265,973 total
Exercise: $21.43Exp: 2014-11-01→ Eaton Vance Corp. Non-voting Common Stock (265,973 underlying)
Award
Option (right to buy)
2012-12-14+142,269→ 142,269 total
Exercise: $24.46Exp: 2021-11-01→ Eaton Vance Corp. Non-voting Common Stock (142,269 underlying)
Award
Option (right to buy)
2012-12-14+146,408→ 146,408 total
Exercise: $21.46Exp: 2018-11-03→ Eaton Vance Corp. Non-voting Common Stock (146,408 underlying)
Award
Option (right to buy)
2012-12-14+215,668→ 215,668 total
Exercise: $24.27Exp: 2015-11-01→ Eaton Vance Corp. Non-voting Common Stock (215,668 underlying)
Award
Option (right to buy)
2012-12-14+205,730→ 205,730 total
Exercise: $29.39Exp: 2016-11-01→ Eaton Vance Corp. Non-voting Common Stock (205,730 underlying)
Award
Option (right to buy)
2012-12-14+131,839→ 131,839 total
Exercise: $27.50Exp: 2019-11-02→ Eaton Vance Corp. Non-voting Common Stock (131,839 underlying)
Award
Eaton Vance Corp. Non-voting Common Stock
2013-11-01+19,900→ 691,724 total
Tax Payment
Eaton Vance Corp. Non-voting Common Stock
2013-11-02$41.90/sh−3,907$163,703→ 680,488 total
Tax Payment
Eaton Vance Corp. Non-voting Common Stock
2013-11-03$41.90/sh−7,869$329,711→ 672,619 total
Award
Option (right to buy)
2012-12-14+143,130→ 143,130 total
Exercise: $47.23Exp: 2017-11-01→ Eaton Vance Corp. Non-voting Common Stock (143,130 underlying)
Award
Option (right to buy)
2012-12-14+59,691→ 59,691 total
Exercise: $28.23Exp: 2022-11-01→ Eaton Vance Corp. Non-voting Common Stock (59,691 underlying)
Award
Option (right to buy)
2012-12-14+145,814→ 145,814 total
Exercise: $28.69Exp: 2020-11-01→ Eaton Vance Corp. Non-voting Common Stock (145,814 underlying)

Holdings

Voting Trust Receipt
44,566
Eaton Vance Corp. Common Stock (Voting)
(indirect: By Trust)
44,566

Footnotes (12)

[F1]These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
[F10]Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
[F11]Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
[F12]Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
[F2]Restricted Stock Award granted under the 2008 Omnibus Incentive Plan
[F3]All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Thomas E. Faust, Duncan W. Richardson, Jeffrey P. Beale, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Daniel C. Cataldo, Cynthia J. Clemson, Brian D. Laagstraat, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Walter A. Row, Judith R. Saryan, David M. Stein, and Michael Weilheimer are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
[F4]Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
[F5]Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
[F6]Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
[F7]Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
[F8]These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
[F9]Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.

Documents

1 file

4
doc4.xmlPrimary

Issuer

EATON VANCE CORP

CIK 0000350797

→

Entity typeoperating

IncorporatedMD

Related Parties

filerCIK 0000350797

Filing Metadata

Form type: 4
Filed: Nov 4, 7:00 PM ET
Accepted: Nov 5, 4:43 PM ET
Size: 33.6 KB

View on SEC.gov