SEC Form 4 · accession 0001225208-17-015488
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorothy E Puhy
Director
Period of report
Sep 28, 2017
Accepted (ET)
Oct 2, 2017 · 11:07 am 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 | Sep 28, 2017 | M | 6,865 | $47.2305 | A | 18,775 | D | |
| Eaton Vance Corp. Non-voting Common StockF1 | Sep 28, 2017 | S | 6,495 | $49.3758 | D | 12,280 | D |
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) | $47.2305 | Sep 28, 2017 | M | 6,865 | D | Nov 1, 2007 | Nov 1, 2017 | Eaton Vance Corp. Non-voting Common Stock | 6,865 | 0 | D |
| Option (right to buy) | $24.4595 | holding | — | — | — | Nov 1, 2011 | Nov 1, 2021 | Eaton Vance Corp. Non-voting Common Stock | 6,420 | 6,420 | D |
| Option (right to buy) | $28.227 | holding | — | — | — | Nov 1, 2012 | Nov 1, 2022 | Eaton Vance Corp. Non-voting Common Stock | 5,680 | 5,680 | D |
| Option (right to buy) | $28.685 | holding | — | — | — | Nov 1, 2010 | Nov 1, 2020 | Eaton Vance Corp. Non-voting Common Stock | 4,902 | 4,902 | 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) | $36.71 | holding | — | — | — | Nov 3, 2014 | Nov 3, 2024 | Eaton Vance Corp. Non-voting Common Stock | 5,737 | 5,737 | 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) | $41.90 | holding | — | — | — | Nov 1, 2013 | Nov 1, 2023 | Eaton Vance Corp. Non-voting Common Stock | 4,045 | 4,045 | D |
| Phantom StockF2 | $0.00 | holding | — | — | — | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 2,048 | 2,048 | D |
| Phantom StockF2 | $0.00 | holding | — | — | — | Nov 2, 2017 | Nov 2, 2017 | Eaton Vance Corp. Non-voting Common Stock | 1,577 | 1,577 | D |
Explanation of responses
- F1Shares were sold to cover the exercise cost and tax liability associated with the exercise of a NQ stock option.
- F2Each 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.