SEC Form 4 · accession 0001225208-15-020441
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Payson F Swaffield
Other
Period of report
Nov 3, 2015
Accepted (ET)
Nov 5, 2015 · 3:17 pm EST
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 StockF1 | Nov 3, 2015 | A | 45,900 | $0.00 | A | 647,544 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | Nov 3, 2015 | F | 2,162 | $36.79 | D | 645,382 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | Nov 3, 2015 | F | 2,711 | $36.79 | D | 642,671 | D | |
| Voting Trust Receipt | holding | — | — | — | 18,623 | D | ||
| Eaton Vance Corp. Common Stock (Voting)F3 | holding | — | — | — | 18,623 | I | By Voting Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F4 | $29.3885 | holding | — | — | — | — | Nov 1, 2016 | Eaton Vance Corp. Non-voting Common Stock | 107,988 | 107,988 | D |
| Option (right to buy)F5 | $47.2305 | holding | — | — | — | — | Nov 1, 2017 | Eaton Vance Corp. Non-voting Common Stock | 75,100 | 75,100 | D |
| Option (right to buy)F6 | $28.6858 | holding | — | — | — | — | Nov 1, 2020 | Eaton Vance Corp. Non-voting Common Stock | 85,776 | 85,776 | D |
| Option (right to buy)F7 | $24.4595 | holding | — | — | — | — | Nov 1, 2021 | Eaton Vance Corp. Non-voting Common Stock | 142,741 | 142,741 | D |
| Option (right to buy)F8 | $28.227 | holding | — | — | — | — | Nov 1, 2022 | Eaton Vance Corp. Non-voting Common Stock | 144,954 | 144,954 | D |
| Option (right to buy)F9 | $41.90 | holding | — | — | — | — | Nov 1, 2023 | Eaton Vance Corp. Non-voting Common Stock | 126,020 | 126,020 | D |
| Option (right to buy)F10 | $27.495 | holding | — | — | — | — | Nov 2, 2019 | Eaton Vance Corp. Non-voting Common Stock | 62,253 | 62,253 | D |
| Option (right to buy)F11 | $36.76 | holding | — | — | — | — | Nov 2, 2025 | Eaton Vance Corp. Non-voting Common Stock | 177,120 | 177,120 | D |
| Option (right to buy)F12 | $21.4631 | holding | — | — | — | — | Nov 3, 2018 | Eaton Vance Corp. Non-voting Common Stock | 73,154 | 73,154 | D |
| Option (right to buy)F13 | $36.71 | holding | — | — | — | — | Nov 3, 2024 | Eaton Vance Corp. Non-voting Common Stock | 187,600 | 187,600 | D |
Explanation of responses
- F1Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan.
- F10Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F11Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F12Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F13Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F2Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.
- 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, 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 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F5Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F6These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F7Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F8Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F9Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.