EATON VANCE CORP 4

Accession 0001225208-16-040881

CIK 0000350797operating

View on SEC.gov Company Profile

Filed

Oct 30, 8:00 PM ET

Accepted

Oct 31, 5:15 PM ET

Size

25.9 KB

Accession

0001225208-16-040881

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

2 files

Issuer

EATON VANCE CORP

CIK 0000350797

→

Entity typeoperating

IncorporatedMD

Related Parties

filerCIK 0000350797

Filing Metadata

Form type: 4
Filed: Oct 30, 8:00 PM ET
Accepted: Oct 31, 5:15 PM ET
Size: 25.9 KB

View on SEC.gov