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4//SEC Filing

FAUST THOMAS E JR 4

Accession 0001225208-21-003961

CIK 0000350797other
View on SEC.govCompany Profile

Filed

Feb 25, 7:00 PM ET

Accepted

Feb 26, 6:46 PM ET

Size

23.5 KB

Accession

0001225208-21-003961

Insider Transaction Report

Form 4
Period: 2021-02-25
EATON VANCE CORPEV
FAUST THOMAS E JR
DirectorCEO
Transactions
  • Award

    Eaton Vance Corp. Non-voting Common Stock

    2020-11-01$30.79/sh+365$11,238→ 3,145,343 total
  • Award

    Restricted Stock Unit

    2021-02-25+28,454→ 28,454 total
    Exercise: $0.00Exp: 2024-02-25→ Eaton Vance Corp. Non-voting Common Stock (28,454 underlying)
Holdings

  • Voting Trust Receipt

    74,277

  • 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: $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

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

  • Option (right to buy)

    Exercise: $36.76Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (358,340 underlying)
    358,340

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

  • Option (right to buy)

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

  • Restricted Stock Unit

    Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (102,762.99 underlying)
    102,762.99
Footnotes (14)
  • [F1]These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
  • [F10]Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F11]Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F12]Granted on November 1, 2019 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F13]Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F14]Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023
  • [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, 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.
  • [F3]Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock
  • [F4]Granted on February 25, 2021 these units vest 50% on 02/25/2023 and 50% on 02/25/2024.
  • [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, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
  • [F8]Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
  • [F9]Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.

Documents

1 file

Issuer

EATON VANCE CORP

CIK 0000350797

→
Entity typeother

Related Parties

1
  • filerCIK 0001225367

Filing Metadata

Form type
4
Filed
Feb 25, 7:00 PM ET
Accepted
Feb 26, 6:46 PM ET
Size
23.5 KB
View on SEC.gov