SEC Form 4 · accession 0001225208-18-003129
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Winthrop H Smith Jr.
Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 2:59 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 Stock | holding | — | — | — | 9,000 | D |
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 | Feb 15, 2018 | A | 15 | A | — | — | Eaton Vance Corp. Non-voting Common Stock | 15 | 2,778 | D |
| Phantom StockF4,F2 | $0.00 | Feb 15, 2018 | A | 11 | A | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 11 | 2,072 | 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 |
Explanation of responses
- F1Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
- F2As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Phantom Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Phantom Stock Awarded at the time such dividends are paid to the stock holders of the Company.
- F3The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.
- F4Each 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.