SMITH WINTHROP H JR 4

4 · EATON VANCE CORP · Filed May 15, 2020

Form 4

Period: 2020-05-15

Director

Transactions

Award
Deferred Stock
2020-05-15+72→ 6,345 total
Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (72 underlying)
Award
Phantom Stock
2020-05-15+34→ 2,993 total
Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (34 underlying)

Holdings

Eaton Vance Corp. Non-voting Common Stock
35,900
Option (right to buy)
Exercise: $34.84From: 2016-11-01Exp: 2026-11-01→ Eaton Vance Corp. Non-voting Common Stock (11,777 underlying)
11,777
Option (right to buy)
Exercise: $36.71From: 2014-11-03Exp: 2024-11-03→ Eaton Vance Corp. Non-voting Common Stock (5,737 underlying)
5,737
Option (right to buy)
Exercise: $36.76From: 2015-11-02Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (7,451 underlying)
7,451
Option (right to buy)
Exercise: $41.90From: 2013-11-01Exp: 2023-11-01→ Eaton Vance Corp. Non-voting Common Stock (4,045 underlying)
4,045

Footnotes (6)

[F1]Each share of Deferred Stock is the economic equivalent of one share of non-voting common stock.
[F2]As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Deferred Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Deferred Stock Awarded at the time such dividends are paid to the stock holders of the Company.
[F3]Shares of Deferred Stock become payable in cash based on the non-employee director's election at either (1) the earlier of the second anniversary of the grant date or the date of the non-employee director's termination, or (2) upon the non-employee director's termination.
[F4]Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
[F5]As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Phantom Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Phantom Stock Awarded at the time such dividends are paid to the stock holders of the Company.
[F6]The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.

Documents

1 file