SEC Form 4 · accession 0001225208-18-014825

EATON VANCE CORP · EV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Thomas E Faust Jr.

Officer — CEO · Director

Period of report

Oct 22, 2018

Accepted (ET)

Oct 23, 2018 · 11:45 am EDT

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^F1	Nov 1, 2017	A	290	$38.664	A	2,826,589	D
Eaton Vance Corp. Non-voting Common Stock	Dec 15, 2017	G	2,925	$0.00	D	2,787,907	D
Eaton Vance Corp. Non-voting Common Stock^F1	May 1, 2018	A	246	$45.603	A	2,788,153	D
Eaton Vance Corp. Non-voting Common Stock	Oct 22, 2018	M	47,405	$21.4631	A	2,835,558	D
Eaton Vance Corp. Non-voting Common Stock^F2	Oct 22, 2018	S	33,407	$45.497	D	2,802,151	D
Voting Trust Receipt	holding	—	—		—	74,277	D
Eaton Vance Corp. Non-voting Common Stock	holding	—	—		—	6,200	I	by Child/Children
Eaton Vance Corp. Non-voting Common Stock	holding	—	—		—	6,200	I	By Custodian For Children
Eaton Vance Corp. Common Stock (Voting)^F3	holding	—	—		—	74,277	I	By Voting Trust
Eaton Vance Corp. Non-voting Common Stock	holding	—	—		—	223,080	I	Stock Option Income Deferral

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	$21.4631	Oct 22, 2018	M	47,405	D	—	Nov 3, 2018	Eaton Vance Corp. Non-voting Common Stock	47,405	196,540	D
Option (right to buy)^F5	$24.4595	holding	—	—	—	—	Nov 1, 2021	Eaton Vance Corp. Non-voting Common Stock	310,602	310,602	D
Option (right to buy)^F6	$27.495	holding	—	—	—	—	Nov 2, 2019	Eaton Vance Corp. Non-voting Common Stock	209,971	209,971	D
Option (right to buy)^F7	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	258,412	258,412	D
Option (right to buy)^F8	$28.6858	holding	—	—	—	—	Nov 1, 2020	Eaton Vance Corp. Non-voting Common Stock	237,921	237,921	D
Option (right to buy)^F9	$34.84	holding	—	—	—	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	446,700	446,700	D
Option (right to buy)^F10	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	342,640	342,640	D
Option (right to buy)^F11	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	358,340	358,340	D
Option (right to buy)^F12	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	221,260	221,260	D
Option (right to buy)^F13	$50.67	holding	—	—	—	—	Nov 1, 2027	Eaton Vance Corp. Non-voting Common Stock	233,440	233,440	D

Explanation of responses

F1These shares were acquired under the 2013 Nonqualified Employee Stock Purchase plan, which is a 16b-3 Plan.
F10Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F11Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F12Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F13Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
F2Shares were sold to cover the exercise cost and tax liability associated with the exercise of a NQ stock option.
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, 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 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F5Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F6Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
F7Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F8These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
F9Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.