SEC Form 4 · accession 0001225208-16-038304

EATON VANCE CORP · EV

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

Reporting owner

Jeffrey P Beale

Officer — Chief Administrative Officer

Period of report

Aug 22, 2016

Accepted (ET)

Aug 24, 2016 · 2:20 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	Nov 2, 2015	A	303	$32.499	A	327,591	D
Eaton Vance Corp. Non-voting Common Stock^F1	May 2, 2016	A	340	$31.077	A	340,747	D
Eaton Vance Corp. Non-voting Common Stock	Aug 22, 2016	M	53,153	$29.3885	A	393,900	D
Eaton Vance Corp. Non-voting Common Stock	Aug 22, 2016	S	53,153	$39.5773	D	340,747	D
Eaton Vance Corp. Non-voting Common Stock	Aug 23, 2016	G	1,000	$0.00	D	339,747	D
Voting Trust Receipt	holding	—	—		—	29,389	D
Eaton Vance Corp. Common Stock (Voting)^F2	holding	—	—		—	29,389	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)^F3	$29.3885	Aug 22, 2016	M	53,153	D	—	Nov 1, 2016	Eaton Vance Corp. Non-voting Common Stock	53,153	3,403	D
Option (right to buy)^F4	$47.2305	holding	—	—	—	—	Nov 1, 2017	Eaton Vance Corp. Non-voting Common Stock	39,343	39,343	D
Option (right to buy)^F5	$28.685	holding	—	—	—	—	Nov 1, 2020	Eaton Vance Corp. Non-voting Common Stock	31,987	31,987	D
Option (right to buy)^F6	$24.4595	holding	—	—	—	—	Nov 1, 2021	Eaton Vance Corp. Non-voting Common Stock	47,089	47,089	D
Option (right to buy)^F7	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	44,999	44,999	D
Option (right to buy)^F8	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	35,860	35,860	D
Option (right to buy)^F9	$27.495	holding	—	—	—	—	Nov 2, 2019	Eaton Vance Corp. Non-voting Common Stock	35,410	35,410	D
Option (right to buy)^F10	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	52,320	52,320	D
Option (right to buy)^F11	$21.4631	holding	—	—	—	—	Nov 3, 2018	Eaton Vance Corp. Non-voting Common Stock	39,651	39,651	D
Option (right to buy)^F12	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	52,560	52,560	D

Explanation of responses

F1These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
F10Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F11Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F12Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F2All 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, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
F3Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F4Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F5These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
F6Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
F7Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F8Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F9Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.