SEC Form 4 · accession 0001225208-17-015211
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Faust Jr.
Officer — CEO · Director
Period of report
Sep 22, 2017
Accepted (ET)
Sep 25, 2017 · 1:00 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 StockF1 | Nov 1, 2016 | A | 360 | $31.212 | A | 2,697,576 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | Nov 16, 2016 | A | 172 | $34.452 | A | 2,732,354 | D | |
| Eaton Vance Corp. Non-voting Common Stock | Dec 19, 2016 | G | 3,600 | $0.00 | D | 2,728,754 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | Feb 16, 2017 | A | 7,481 | $36.126 | A | 2,736,235 | D | |
| Eaton Vance Corp. Non-voting Common StockF1 | May 1, 2017 | A | 358 | $31.356 | A | 2,736,593 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | May 16, 2017 | A | 160 | $39.042 | A | 2,736,753 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | Aug 16, 2017 | A | 153 | $40.716 | A | 2,736,906 | D | |
| Eaton Vance Corp. Non-voting Common Stock | Sep 22, 2017 | M | 75,000 | $47.2305 | A | 2,811,906 | D | |
| Eaton Vance Corp. Non-voting Common StockF3 | Sep 22, 2017 | S | 73,982 | $48.2046 | D | 2,737,924 | D | |
| Voting Trust Receipt | holding | — | — | — | 74,277 | D | ||
| Eaton Vance Corp. Non-voting Common Stock | holding | — | — | — | 6,200 | I | by Child/Children | |
| Eaton Vance Corp. Non-voting Common Stock | holding | — | — | — | 6,200 | I | By Custodian For Children | |
| Eaton Vance Corp. Common Stock (Voting)F4 | holding | — | — | — | 74,277 | I | By Voting Trust | |
| Eaton Vance Corp. Non-voting Common Stock | holding | — | — | — | 223,080 | I | Stock Option Income Deferral |
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)F5 | $47.2305 | Sep 22, 2017 | M | 75,000 | D | — | Nov 1, 2017 | Eaton Vance Corp. Non-voting Common Stock | 75,000 | 211,259 | D |
| Option (right to buy)F6 | $21.4631 | holding | — | — | — | — | Nov 3, 2018 | Eaton Vance Corp. Non-voting Common Stock | 243,945 | 243,945 | D |
| Option (right to buy)F7 | $24.4595 | holding | — | — | — | — | Nov 1, 2021 | Eaton Vance Corp. Non-voting Common Stock | 310,602 | 310,602 | D |
| Option (right to buy)F8 | $27.495 | holding | — | — | — | — | Nov 2, 2019 | Eaton Vance Corp. Non-voting Common Stock | 209,971 | 209,971 | D |
| Option (right to buy)F9 | $28.227 | holding | — | — | — | — | Nov 1, 2022 | Eaton Vance Corp. Non-voting Common Stock | 258,412 | 258,412 | D |
| Option (right to buy)F10 | $28.6858 | holding | — | — | — | — | Nov 1, 2020 | Eaton Vance Corp. Non-voting Common Stock | 237,921 | 237,921 | D |
| Option (right to buy)F11 | $34.84 | holding | — | — | — | — | Nov 1, 2026 | Eaton Vance Corp. Non-voting Common Stock | 446,700 | 446,700 | D |
| Option (right to buy)F12 | $36.71 | holding | — | — | — | — | Nov 3, 2024 | Eaton Vance Corp. Non-voting Common Stock | 342,640 | 342,640 | D |
| Option (right to buy)F13 | $36.76 | holding | — | — | — | — | Nov 2, 2025 | Eaton Vance Corp. Non-voting Common Stock | 358,340 | 358,340 | D |
| Option (right to buy)F14 | $41.90 | holding | — | — | — | — | Nov 1, 2023 | Eaton Vance Corp. Non-voting Common Stock | 221,260 | 221,260 | D |
Explanation of responses
- F1These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
- F10These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
- F11Granted on November 1, 2016 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%.
- F13Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F14Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- F2These shares were acquired under the 2013 Incentive Compensation Employee Stock Purchase Plan, which is a 16b-3 Plan.
- F3Shares were sold to cover the exercise cost and tax liability associated with the exercise of a NQ stock option.
- F4All 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.
- F5Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- F6Granted on November 3, 2008 these options 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 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
- F9Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.