FAUST THOMAS E JR 4

Accession 0001225208-21-004548

CIK 0000350797other

View on SEC.gov Company Profile

Filed

Mar 2, 7:00 PM ET

Accepted

Mar 3, 5:26 PM ET

Size

36.4 KB

Accession

0001225208-21-004548

Insider Transaction Report

Form 4

Period: 2021-03-01

Mirror Merger Sub 2, LLCEV

FAUST THOMAS E JR

DirectorCEO

Transactions

Disposition to Issuer
Eaton Vance Corp. Non-voting Common Stock
2021-03-01−6,200→ 0 total(indirect: By Children)
Disposition to Issuer
Option (right to buy)
2021-03-01$38.16/sh−446,700$17,046,072→ 0 total
Exercise: $34.84Exp: 2026-11-01→ Eaton Vance Corp. Non-voting Common Stock (446,700 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$36.24/sh−358,340$12,986,242→ 0 total
Exercise: $36.76Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (358,340 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$36.29/sh−342,640$12,434,406→ 0 total
Exercise: $36.71Exp: 2024-11-03→ Eaton Vance Corp. Non-voting Common Stock (342,640 underlying)
Disposition to Issuer
Restricted Stock Unit
2021-03-01−28,454→ 0 total
Exercise: $0.00Exp: 2024-02-25→ Eaton Vance Corp. Non-voting Common Stock (28,454 underlying)
Disposition to Issuer
Eaton Vance Corp. Non-voting Common Stock
2021-03-01−3,194,487→ 0 total
Disposition to Issuer
Voting Trust Receipt
2021-03-01−74,277→ 0 total
Disposition to Issuer
Eaton Vance Corp. Common Stock (Voting)
2021-03-01−74,277→ 0 total(indirect: By Trust)
Disposition to Issuer
Option (right to buy)
2021-03-01$27.50/sh−314,940$8,660,850→ 0 total
Exercise: $45.50Exp: 2028-11-01→ Eaton Vance Corp. Non-voting Common Stock (314,940 underlying)
Disposition to Issuer
Restricted Stock Unit
2021-03-01−102,762.99→ 0 total
Exercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (102,762.99 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$48.54/sh−310,602$15,076,776→ 0 total
Exercise: $24.46Exp: 2021-11-01→ Eaton Vance Corp. Non-voting Common Stock (310,602 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$31.10/sh−221,260$6,881,186→ 0 total
Exercise: $41.90Exp: 2023-11-01→ Eaton Vance Corp. Non-voting Common Stock (221,260 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$22.33/sh−233,440$5,212,715→ 0 total
Exercise: $50.67Exp: 2027-11-01→ Eaton Vance Corp. Non-voting Common Stock (233,440 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$44.77/sh−258,412$11,569,880→ 0 total
Exercise: $28.23Exp: 2022-11-01→ Eaton Vance Corp. Non-voting Common Stock (258,412 underlying)
Disposition to Issuer
Option (right to buy)
2021-03-01$26.85/sh−331,065$8,889,095→ 0 total
Exercise: $46.15Exp: 2029-11-01→ Eaton Vance Corp. Non-voting Common Stock (331,065 underlying)

Footnotes (15)

[F1]Disposed of pursuant to the Agreement and Plan of Merger, dated as of October 7, 2020 (the Merger Agreement), by and among Issuer, Morgan Stanley, Mirror Merger Sub 1, Inc. and Mirror Merger Sub 2, LLC, in exchange for $155,905,381.36 and 1,007,474 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
[F10]This option award, which was granted on November 1, 2019 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $8,889,095.25.
[F11]This option award, which was granted on November 2, 2015 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $12,986,241.60.
[F12]This option award, which was granted on November 1, 2014 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $12,434,405.60.
[F13]Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock.
[F14]This Restricted Stock Unit award, which was granted on November 2, 2020 and provided for 50% of vesting on 11/02/2022 and 50% of vesting on 11/02/2023, was assumed by Morgan Stanley and converted into Restricted Stock Units relating to Morgan Stanley Common Stock.
[F15]This Restricted Stock Unit award, which was granted on February 25, 2021 and provided for 50% of vesting on 02/25/2023 and 50% of vesting on 02/25/2024, was assumed by Morgan Stanley and converted into Restricted Stock Units relating to Morgan Stanley Common Stock.
[F2]Disposed of pursuant to the Merger Agreement in exchange for $1,668,219.34 and 48,932 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
[F3]Disposed of pursuant to the Merger Agreement in exchange for $263,181.63 and 2,469 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
[F4]This option award, which was granted on November 1, 2011 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $15,076,754.64.
[F5]This option award, which was granted on November 1, 2012 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $11,569,857.22.
[F6]This option award, which was granted on November 1, 2013 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $6,881,186.00.
[F7]This option award, which was granted on November 1, 2016 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $17,046,072.00.
[F8]This option award, which was granted on November 1, 2017 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $5,212,715.20.
[F9]This option award, which was granted on November 1, 2018 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $8,660,850.00.

Documents

1 file

4
doc4.xmlPrimary

Issuer

Mirror Merger Sub 2, LLC

CIK 0000350797

→

Entity typeother

Related Parties

filerCIK 0001225367

Filing Metadata

Form type: 4
Filed: Mar 2, 7:00 PM ET
Accepted: Mar 3, 5:26 PM ET
Size: 36.4 KB

View on SEC.gov