SEC Form 4 · accession 0001225208-18-009312
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann E Berman
Director
Period of report
May 15, 2018
Accepted (ET)
May 15, 2018 · 1:37 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2,F3 | $0.00 | May 15, 2018 | A | 16 | A | — | — | Eaton Vance Corp. Non-voting Common Stock | 16 | 2,794 | D |
| Phantom StockF4,F2 | $0.00 | May 15, 2018 | A | 12 | A | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 12 | 2,084 | 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 |
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 granted prior to November 1, 2017 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.