SEC Form 4/A · accession 0001225208-17-017191
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Leo I Higdon Jr.
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 13, 2017 · 10:06 am EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2,F3 | $0.00 | Nov 1, 2017 | A | 2,763 | A | — | — | Eaton Vance Corp. Non-voting Common Stock | 2,763 | 2,763 | D |
Explanation of responses
- F1Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
- F2The original Form 4 filed on November 3, 2017 incorrectly reported grants on November 1, 2017 of 1,381 shares of Phantom Stock and 6,808 Stock Options. The actual grant on November 1, 2017 was for 2,763 shares of Phantom Stock. No Stock Options were granted. This amended Form 4 corrects this information to accurately reflect the November 1, 2017 grant.
- F3The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.