SEC Form 4 · accession 0001225208-16-041250
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann E Berman
Director
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 1:21 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 Stock | Nov 3, 2016 | M | 1,448 | $0.00 | A | 1,448 | D | |
| Eaton Vance Corp. Non-voting Common Stock | Nov 3, 2016 | D | 1,448 | $34.99 | D | 0 | 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,F2 | $0.00 | Nov 3, 2016 | A | 11 | A | Nov 3, 2016 | Nov 3, 2016 | Eaton Vance Corp. Non-voting Common Stock | 11 | 1,448 | D |
| Phantom StockF1 | $0.00 | Nov 3, 2016 | M | 1,448 | D | Nov 3, 2016 | Nov 3, 2016 | Eaton Vance Corp. Non-voting Common Stock | 1,448 | 0 | 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) | $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) | $34.84 | holding | — | — | — | Nov 1, 2016 | Nov 1, 2026 | Eaton Vance Corp. Non-voting Common Stock | 11,777 | 11,777 | D |
| Option (right to buy) | $36.76 | holding | — | — | — | Nov 2, 2015 | Nov 2, 2025 | Eaton Vance Corp. Non-voting Common Stock | 7,451 | 7,451 | 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 |
| Phantom StockF1 | $0.00 | holding | — | — | — | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 2,009 | 2,009 | D |
| Phantom StockF1 | $0.00 | holding | — | — | — | Nov 2, 2017 | Nov 2, 2017 | Eaton Vance Corp. Non-voting Common Stock | 1,534 | 1,534 | D |
Explanation of responses
- F1Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. The shares of Phantom Stock become payable in cash at the earlier of the second anniversary of the grant date or the date of the non-employee director's termination.
- F2As 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.