SEC Form 4 · accession 0001225208-15-016747
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Winthrop H Smith Jr.
Director
Period of report
Aug 12, 2015
Accepted (ET)
Aug 12, 2015 · 3:42 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 | holding | — | — | — | 6,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1 | $0.00 | Aug 12, 2015 | A | 9 | A | Nov 1, 2015 | Nov 1, 2015 | Eaton Vance Corp. Non-voting Common Stock | 9 | 1,249 | D |
| Phantom StockF1 | $0.00 | Aug 12, 2015 | A | 10 | A | Nov 3, 2016 | Nov 3, 2016 | Eaton Vance Corp. Non-voting Common Stock | 10 | 1,390 | D |
| Option (right to buy) | $29.3885 | holding | — | — | — | Nov 1, 2006 | Nov 1, 2016 | Eaton Vance Corp. Non-voting Common Stock | 8,197 | 8,197 | D |
| Option (right to buy) | $47.2305 | holding | — | — | — | Nov 1, 2007 | Nov 1, 2017 | Eaton Vance Corp. Non-voting Common Stock | 6,865 | 6,865 | D |
| Option (right to buy) | $28.6858 | holding | — | — | — | Nov 1, 2010 | Nov 1, 2020 | Eaton Vance Corp. Non-voting Common Stock | 4,902 | 4,902 | D |
| Option (right to buy) | $24.4595 | holding | — | — | — | Nov 1, 2011 | Nov 1, 2021 | Eaton Vance Corp. Non-voting Common Stock | 6,420 | 6,420 | D |
| Option (right to buy) | $28.227 | holding | — | — | — | Nov 1, 2012 | Nov 1, 2022 | Eaton Vance Corp. Non-voting Common Stock | 5,680 | 5,680 | D |
| Option (right to buy) | $41.90 | holding | — | — | — | Nov 1, 2013 | Nov 1, 2023 | Eaton Vance Corp. Non-voting Common Stock | 4,045 | 4,045 | D |
| Option (right to buy) | $27.495 | holding | — | — | — | Nov 2, 2009 | Nov 2, 2019 | Eaton Vance Corp. Non-voting Common Stock | 4,883 | 4,883 | D |
| Option (right to buy) | $21.4631 | holding | — | — | — | Nov 3, 2008 | Nov 3, 2018 | Eaton Vance Corp. Non-voting Common Stock | 5,943 | 5,943 | D |
| Option (right to buy) | $36.71 | holding | — | — | — | Nov 3, 2014 | Nov 3, 2024 | Eaton Vance Corp. Non-voting Common Stock | 5,737 | 5,737 | D |
Explanation of responses
- F1As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Phantom Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Phantom Stock Awarded at the time such dividends are paid to the stock holders of the Company.