SEC Form 4 · accession 0001225208-16-041098

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 1, 2016

Accepted (ET)

Nov 3, 2016 · 4:14 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 1, 2016	F	3,721	$34.84	D	652,211	D
Eaton Vance Corp. Non-voting Common Stock^F1	Nov 1, 2016	F	4,381	$34.84	D	647,830	D
Voting Trust Receipt	holding	—	—		—	18,623	D
Eaton Vance Corp. Common Stock (Voting)^F2	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)^F3	$34.84	Nov 1, 2016	A	212,180	A	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	212,180	212,180	D
Option (right to buy)^F4	$47.2305	holding	—	—	—	—	Nov 1, 2017	Eaton Vance Corp. Non-voting Common Stock	75,100	75,100	D
Option (right to buy)^F5	$28.6858	holding	—	—	—	—	Nov 1, 2020	Eaton Vance Corp. Non-voting Common Stock	85,776	85,776	D
Option (right to buy)^F6	$24.4595	holding	—	—	—	—	Nov 1, 2021	Eaton Vance Corp. Non-voting Common Stock	142,741	142,741	D
Option (right to buy)^F7	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	144,954	144,954	D
Option (right to buy)^F8	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	126,020	126,020	D
Option (right to buy)^F9	$27.495	holding	—	—	—	—	Nov 2, 2019	Eaton Vance Corp. Non-voting Common Stock	62,253	62,253	D
Option (right to buy)^F3	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	177,120	177,120	D
Option (right to buy)^F10	$21.4631	holding	—	—	—	—	Nov 3, 2018	Eaton Vance Corp. Non-voting Common Stock	73,154	73,154	D
Option (right to buy)^F11	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	187,600	187,600	D

Explanation of responses

F1Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.
F10Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F11Granted 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, 2016 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%, and 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%.