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EATON VANCE CORP·4

Dec 21, 5:57 PM ET

FAUST THOMAS E JR 4

4 · EATON VANCE CORP · Filed Dec 21, 2020

Insider Transaction Report

Form 4
Period: 2020-12-17
EATON VANCE CORPEV
FAUST THOMAS E JR
DirectorCEO
Transactions
  • Award

    Restricted Stock Unit

    2020-12-18+6,247.68→ 102,226.68 total
    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (6,247.68 underlying)
  • Sale

    Eaton Vance Corp. Non-voting Common Stock

    2020-12-17$65.66/sh−98,936$6,496,138→ 0 total(indirect: Stock Option Income Deferral)
Holdings

  • Eaton Vance Corp. Non-voting Common Stock

    3,269,122

  • Voting Trust Receipt

    74,277

  • Option (right to buy)

    Exercise: $41.90Exp: 2023-11-01→ Eaton Vance Corp. Non-voting Common Stock (221,260 underlying)
    221,260

  • Option (right to buy)

    Exercise: $45.50Exp: 2028-11-01→ Eaton Vance Corp. Non-voting Common Stock (314,940 underlying)
    314,940

  • Option (right to buy)

    Exercise: $50.67Exp: 2027-11-01→ Eaton Vance Corp. Non-voting Common Stock (233,440 underlying)
    233,440

  • Option (right to buy)

    Exercise: $24.46Exp: 2021-11-01→ Eaton Vance Corp. Non-voting Common Stock (310,602 underlying)
    310,602

  • Option (right to buy)

    Exercise: $28.23Exp: 2022-11-01→ Eaton Vance Corp. Non-voting Common Stock (258,412 underlying)
    258,412

  • Eaton Vance Corp. Non-voting Common Stock

    (indirect: By Children)
    6,200

  • Eaton Vance Corp. Common Stock (Voting)

    (indirect: By Trust)
    74,277

  • Option (right to buy)

    Exercise: $36.71Exp: 2024-11-03→ Eaton Vance Corp. Non-voting Common Stock (342,640 underlying)
    342,640

  • Option (right to buy)

    Exercise: $46.15Exp: 2029-11-01→ Eaton Vance Corp. Non-voting Common Stock (331,065 underlying)
    331,065

  • Option (right to buy)

    Exercise: $34.84Exp: 2026-11-01→ Eaton Vance Corp. Non-voting Common Stock (446,700 underlying)
    446,700

  • Option (right to buy)

    Exercise: $36.76Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (358,340 underlying)
    358,340
Footnotes (16)
  • [F1]Shares sold to cover tax obligation as a result of the termination of the Stock Option Income Deferral Plan.
  • [F10]Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F11]Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F12]Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F13]Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F14]Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F15]Granted on November 1, 2019 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F16]Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F2]A change in ownership from Indirect to Direct occurred on 124,144 shares as a result of the termination of the Stock Option Income Deferral Plan.
  • [F3]The reporting person no longer has a reportable beneficial interest in 6,200 shares previously included as Indirect ownership by Custodian for Children in the reporting person's ownership reports.
  • [F4]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, 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, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami, Eric A. Stein, Andrew N. Sveen, Paul W. Bouchey, John Streur, Thomas B. Lee and Thomas C. Seto are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
  • [F5]Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock
  • [F6]As dividends are paid with respect to Company Non-Voting Common Stock, a dividend equivalent will be credited with respect to the Participants Restricted Stock Unit Award outstanding on the dividend record date and reinvested in the form of additional Restricted Stock Units.
  • [F7]Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023
  • [F8]Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F9]Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.

Documents

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