EATON VANCE CORP 4
4 · EATON VANCE CORP · Filed Nov 7, 2016
Insider Transaction Report
Form 4
SWAFFIELD PAYSON F
Other
Transactions
- Tax Payment
Eaton Vance Corp. Non-voting Common Stock
2016-11-03$34.99/sh−3,610$126,314→ 676,162 total - Tax Payment
Eaton Vance Corp. Non-voting Common Stock
2016-11-03$34.99/sh−3,240$113,368→ 679,772 total
Holdings
- 18,623(indirect: By Trust)
Eaton Vance Corp. Common Stock (Voting)
- 85,776
Option (right to buy)
Exercise: $28.69Exp: 2020-11-01→ Eaton Vance Corp. Non-voting Common Stock (85,776 underlying) - 142,741
Option (right to buy)
Exercise: $24.46Exp: 2021-11-01→ Eaton Vance Corp. Non-voting Common Stock (142,741 underlying) - 126,020
Option (right to buy)
Exercise: $41.90Exp: 2023-11-01→ Eaton Vance Corp. Non-voting Common Stock (126,020 underlying) - 212,180
Option (right to buy)
Exercise: $34.84Exp: 2026-11-01→ Eaton Vance Corp. Non-voting Common Stock (212,180 underlying) - 177,120
Option (right to buy)
Exercise: $36.76Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (177,120 underlying) - 73,154
Option (right to buy)
Exercise: $21.46Exp: 2018-11-03→ Eaton Vance Corp. Non-voting Common Stock (73,154 underlying) - 187,600
Option (right to buy)
Exercise: $36.71Exp: 2024-11-03→ Eaton Vance Corp. Non-voting Common Stock (187,600 underlying) - 18,623
Voting Trust Receipt
- 75,100
Option (right to buy)
Exercise: $47.23Exp: 2017-11-01→ Eaton Vance Corp. Non-voting Common Stock (75,100 underlying) - 144,954
Option (right to buy)
Exercise: $28.23Exp: 2022-11-01→ Eaton Vance Corp. Non-voting Common Stock (144,954 underlying) - 62,253
Option (right to buy)
Exercise: $27.50Exp: 2019-11-02→ Eaton Vance Corp. Non-voting Common Stock (62,253 underlying)
Footnotes (12)
- [F1]Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.
- [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, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- [F4]These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
- [F5]Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- [F6]Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- [F7]Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- [F8]Granted on November 1, 2016 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%.