4//SEC Filing
SMITH WINTHROP H JR 4
Accession 0001225208-21-004556
CIK 0000350797other
Filed
Mar 2, 7:00 PM ET
Accepted
Mar 3, 5:29 PM ET
Size
20.8 KB
Accession
0001225208-21-004556
Insider Transaction Report
Form 4
SMITH WINTHROP H JR
Director
Transactions
- Disposition to Issuer
Eaton Vance Corp. Non-voting Common Stock
2021-03-01−27,000→ 0 total - Disposition to Issuer
Eaton Vance Corp. Non-voting Common Stock
2021-03-01−6,900→ 0 total(indirect: By LLC) - Disposition to Issuer
Deferred Stock
2021-03-01$73.00/sh−9,372$684,156→ 0 totalExercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (9,372 underlying) - Disposition to Issuer
Option (right to buy)
2021-03-01$31.10/sh−4,045$125,800→ 0 totalExercise: $41.90From: 2013-11-01Exp: 2023-11-01→ Eaton Vance Corp. Non-voting Common Stock (4,045 underlying) - Disposition to Issuer
Option (right to buy)
2021-03-01$38.16/sh−11,777$449,410→ 0 totalExercise: $34.84From: 2016-11-01Exp: 2026-11-01→ Eaton Vance Corp. Non-voting Common Stock (11,777 underlying) - Disposition to Issuer
Option (right to buy)
2021-03-01$36.24/sh−7,451$270,024→ 0 totalExercise: $36.76From: 2015-11-02Exp: 2025-11-02→ Eaton Vance Corp. Non-voting Common Stock (7,451 underlying) - Disposition to Issuer
Option (right to buy)
2021-03-01$36.29/sh−5,737$208,196→ 0 totalExercise: $36.71From: 2014-11-03Exp: 2024-11-03→ Eaton Vance Corp. Non-voting Common Stock (5,737 underlying) - Disposition to Issuer
Phantom Stock
2021-03-01$73.00/sh−3,252$237,396→ 0 totalExercise: $0.00→ Eaton Vance Corp. Non-voting Common Stock (3,252 underlying)
Footnotes (10)
- [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 $606,249.94 and 17,789 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
- [F10]This Phantom Stock Unit award, which was granted on November 1, 2017, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $237,396.00.
- [F2]The 6,900 shares reported as held Indirectly by Summit Ventures LLC had transfered to The Smith Family LLC and have been disposed of pursuant to the Merger Agreement in exchange for $154,936.52 and 4,546 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
- [F3]Each Deferred Stock Unit is the economic equivalent of one share of non-voting common stock.
- [F4]This Deferred Stock Unit award was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $684,156.00.
- [F5]This option award, which was granted on November 1, 2013, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $125,799.50.
- [F6]This option award, which was granted on November 1, 2016, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $449,410.32.
- [F7]This option award, which was granted on November 2, 2015, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $270,024.24.
- [F8]This option award, which was granted on November 3, 2014, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $208,195.73.
- [F9]Each Phantom Stock Unit is the economic equivalent of one share of non-voting common stock.
Documents
Issuer
Mirror Merger Sub 2, LLC
CIK 0000350797
Entity typeother
Related Parties
1- filerCIK 0001287807
Filing Metadata
- Form type
- 4
- Filed
- Mar 2, 7:00 PM ET
- Accepted
- Mar 3, 5:29 PM ET
- Size
- 20.8 KB