SEC Form 4 · accession 0001225208-18-015160
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leo I Higdon Jr.
Director
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 11:33 am 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 | Nov 1, 2018 | M | 2,112 | $0.00 | A | 6,133 | D | |
| Eaton Vance Corp. Non-voting Common Stock | Nov 1, 2018 | D | 2,112 | $45.50 | D | 4,021 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred StockF1,F2 | $0.00 | Nov 1, 2018 | A | 3,077 | A | Nov 1, 2020 | Nov 1, 2020 | Eaton Vance Corp. Non-voting Common Stock | 3,077 | 3,077 | D |
| Phantom StockF3,F4 | $0.00 | Nov 1, 2018 | A | 16 | A | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 16 | 2,112 | D |
| Phantom StockF3 | $0.00 | Nov 1, 2018 | M | 2,112 | D | Nov 1, 2018 | Nov 1, 2018 | Eaton Vance Corp. Non-voting Common Stock | 2,112 | 0 | D |
| Option (right to buy) | $24.4595 | holding | — | — | — | Nov 1, 2011 | Nov 1, 2021 | Eaton Vance Corp. Non-voting Common Stock | 6,420 | 6,420 | D |
| Option (right to buy) | $27.495 | holding | — | — | — | Nov 2, 2009 | Nov 2, 2019 | Eaton Vance Corp. Non-voting Common Stock | 4,883 | 4,883 | D |
| Option (right to buy) | $28.227 | holding | — | — | — | Nov 1, 2012 | Nov 1, 2022 | Eaton Vance Corp. Non-voting Common Stock | 5,680 | 5,680 | D |
| Option (right to buy) | $28.6858 | holding | — | — | — | Nov 1, 2010 | Nov 1, 2020 | Eaton Vance Corp. Non-voting Common Stock | 4,902 | 4,902 | 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 |
| Phantom StockF5,F6 | $0.00 | holding | — | — | — | — | — | Eaton Vance Corp. Non-voting Common Stock | 2,811 | 2,811 | D |
Explanation of responses
- F1Each share of Deferred Stock is the economic equivalent of one share of non-voting common stock.
- F2The shares of Deferred Stock granted on November 1, 2018 become payable in cash based on the non-employee director's election at either (1) the earlier of the second anniversary of the grant date or the date of the non-employee director's termination, or (2) upon the non-employee director's termination.
- F3Each 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.
- F4As 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.
- F5Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock.
- F6The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination.