SEC Form 4 · accession 0001225208-15-015321

EATON VANCE CORP · EV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Equity Inv. Officer

Period of report

Jul 9, 2015

Accepted (ET)

Jul 10, 2015 · 12:56 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000350797

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Eaton Vance Corp. Non-voting Common Stock^F1	May 1, 2015	A	340	$33.039	A	340	D
Eaton Vance Corp. Non-voting Common Stock^F2	Jul 9, 2015	A	52,424	$0.00	A	52,764	D
Eaton Vance Corp. Non-voting Common Stock	Jul 9, 2015	F	1,704	$38.22	D	51,060	D
Voting Trust Receipt	holding	—	—		—	18,623	D
Eaton Vance Corp. Common Stock (Voting)^F3	holding	—	—		—	18,623	I	By Voting Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option (right to buy)^F4	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	111,880	111,880	D

F1These shares were acquired under the 2013 Employee Stock Purchase Plan, which is a 16b-3 Plan.
F2Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan.
F3All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Thomas E. Faust, Jeffrey P. Beale, 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, Thomas M. Metzold, Scott H. Page, Walter A. Row, David M. Stein, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ and John L. Shea are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
F4Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.