SEC Form 4 · accession 0001225208-16-041199

EATON VANCE CORP · EV

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

Reporting owner

Frederick S Marius

Officer — Chief Legal Officer

Period of report

Nov 2, 2016

Accepted (ET)

Nov 4, 2016 · 4:41 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, 2016	A	7,740	$0.00	A	70,128	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 2, 2016	F	252	$34.60	D	69,876	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	$47.2305	holding	—	—	—	—	Nov 1, 2017	Eaton Vance Corp. Non-voting Common Stock	8,915	8,915	D
Option (right to buy)^F5	$28.6858	holding	—	—	—	—	Nov 1, 2020	Eaton Vance Corp. Non-voting Common Stock	5,693	5,693	D
Option (right to buy)^F6	$24.4595	holding	—	—	—	—	Nov 1, 2021	Eaton Vance Corp. Non-voting Common Stock	13,085	13,085	D
Option (right to buy)^F7	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	21,670	21,670	D
Option (right to buy)^F8	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	22,960	22,960	D
Option (right to buy)^F9	$34.84	holding	—	—	—	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	34,600	34,600	D
Option (right to buy)^F10	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	31,780	31,780	D
Option (right to buy)^F11	$21.4631	holding	—	—	—	—	Nov 3, 2018	Eaton Vance Corp. Non-voting Common Stock	2	2	D
Option (right to buy)^F12	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	32,700	32,700	D

Explanation of responses

F1Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive 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%.
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, 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.
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 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.