SEC Form 4 · accession 0001225208-18-001029
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward J. Perkin
Officer — Chief Equity Inv. Officer
Period of report
Jan 14, 2018
Accepted (ET)
Jan 16, 2018 · 4:37 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 StockF1 | Nov 1, 2017 | A | 290 | $38.664 | A | 131,320 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | Jan 14, 2018 | F | 1,246 | $60.45 | D | 126,343 | D | |
| Voting Trust Receipt | holding | — | — | — | 18,623 | D | ||
| Eaton Vance Corp. Common Stock (Voting)F3 | holding | — | — | — | 18,623 | I | By Voting Trust |
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)F4 | $34.84 | holding | — | — | — | — | Nov 1, 2026 | Eaton Vance Corp. Non-voting Common Stock | 50,260 | 50,260 | D |
| Option (right to buy)F5 | $36.71 | holding | — | — | — | — | Nov 3, 2024 | Eaton Vance Corp. Non-voting Common Stock | 111,880 | 111,880 | D |
| Option (right to buy)F6 | $36.76 | holding | — | — | — | — | Nov 2, 2025 | Eaton Vance Corp. Non-voting Common Stock | 90,320 | 90,320 | D |
| Option (right to buy)F7 | $50.67 | holding | — | — | — | — | Nov 1, 2027 | Eaton Vance Corp. Non-voting Common Stock | 26,240 | 26,240 | D |
Explanation of responses
- F1These shares were acquired under the 2013 Employee Stock Purchase Plan, which is a 16b-3 Plan.
- F2Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.
- F3All 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.
- F4Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
- F5Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F6Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
- F7Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.