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EATON VANCE CORP·4

Oct 31, 5:15 PM ET

EATON VANCE CORP 4

4 · EATON VANCE CORP · Filed Oct 31, 2016

Insider Transaction Report

Form 4
Period: 2016-10-28
EATON VANCE CORPEV
SWAFFIELD PAYSON F
Other
Transactions
  • Exercise/Conversion

    Eaton Vance Corp. Non-voting Common Stock

    2016-10-28$29.39/sh+107,988$3,173,605→ 750,659 total
  • Sale

    Eaton Vance Corp. Non-voting Common Stock

    2016-10-28$35.40/sh−94,727$3,353,592→ 655,932 total
  • Exercise/Conversion

    Option (right to buy)

    2016-10-28−107,988→ 0 total
    Exercise: $29.39Exp: 2016-11-01→ Eaton Vance Corp. Non-voting Common Stock (107,988 underlying)
Holdings

  • Voting Trust Receipt

    18,623

  • Option (right to buy)

    Exercise: $28.23Exp: 2022-11-01→ Eaton Vance Corp. Non-voting Common Stock (144,954 underlying)
    144,954

  • Option (right to buy)

    Exercise: $36.71Exp: 2024-11-03→ Eaton Vance Corp. Non-voting Common Stock (187,600 underlying)
    187,600

  • Option (right to buy)

    Exercise: $47.23Exp: 2017-11-01→ Eaton Vance Corp. Non-voting Common Stock (75,100 underlying)
    75,100

  • Option (right to buy)

    Exercise: $28.69Exp: 2020-11-01→ Eaton Vance Corp. Non-voting Common Stock (85,776 underlying)
    85,776

  • Option (right to buy)

    Exercise: $27.50Exp: 2019-11-02→ Eaton Vance Corp. Non-voting Common Stock (62,253 underlying)
    62,253

  • Option (right to buy)

    Exercise: $36.76Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (177,120 underlying)
    177,120

  • Option (right to buy)

    Exercise: $21.46Exp: 2018-11-03→ Eaton Vance Corp. Non-voting Common Stock (73,154 underlying)
    73,154

  • Eaton Vance Corp. Common Stock (Voting)

    (indirect: By Trust)
    18,623

  • Option (right to buy)

    Exercise: $24.46Exp: 2021-11-01→ Eaton Vance Corp. Non-voting Common Stock (142,741 underlying)
    142,741

  • Option (right to buy)

    Exercise: $41.90Exp: 2023-11-01→ Eaton Vance Corp. Non-voting Common Stock (126,020 underlying)
    126,020
Footnotes (12)
  • [F1]Shares were sold to cover the exercise cost and tax liability associated with the exercise of a NQ stock option.
  • [F10]Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F11]Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F12]Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F2]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, Jeffrey P. Beale, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  • [F3]Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F4]Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F5]These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
  • [F6]Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F7]Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F8]Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F9]Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.

Documents

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