SEC Form 4 · accession 0001225208-17-016855
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ann E Berman
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 9:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000350797
Table I — non-derivative securities
No Table I lines on this filing.
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) | $50.67 | Nov 1, 2017 | A | 6,808 | A | Nov 1, 2017 | Nov 1, 2027 | Eaton Vance Corp. Non-voting Common Stock | 6,808 | 6,808 | D |
| Phantom StockF1,F2 | $0.00 | Nov 1, 2017 | A | 1,381 | A | — | — | Eaton Vance Corp. Non-voting Common Stock | 1,381 | 1,381 | 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) | $41.90 | holding | — | — | — | Nov 1, 2013 | Nov 1, 2023 | Eaton Vance Corp. Non-voting Common Stock | 4,045 | 4,045 | D |
| Phantom StockF3 | $0.00 | holding | — | — | — | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 2,048 | 2,048 | D |
| Phantom StockF3 | $0.00 | holding | — | — | — | Nov 2, 2017 | Nov 2, 2017 | Eaton Vance Corp. Non-voting Common Stock | 1,577 | 1,577 | D |
Explanation of responses
- F1Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
- F2The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.
- F3Each 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.