SEC Form 4 · accession 0001225208-18-015177

EATON VANCE CORP · EV

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

Reporting owner

Frederick S Marius

Officer — Chief Legal Officer

Period of report

Nov 1, 2018

Accepted (ET)

Nov 5, 2018 · 4:34 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^F1	Nov 1, 2018	A	8,234	$0.00	A	36,299	D
Eaton Vance Corp. Non-voting Common Stock^F1	Nov 1, 2018	A	6,800	$0.00	A	43,099	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 1, 2018	F	237	$45.50	D	42,862	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 1, 2018	F	503	$45.50	D	42,359	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	$45.50	Nov 1, 2018	A	28,831	A	—	Nov 1, 2028	Eaton Vance Corp. Non-voting Common Stock	28,831	28,831	D
Option (right to buy)^F5	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	8,668	8,668	D
Option (right to buy)^F6	$34.84	holding	—	—	—	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	34,600	34,600	D
Option (right to buy)^F7	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	24,525	24,525	D
Option (right to buy)^F8	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	28,602	28,602	D
Option (right to buy)^F9	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	12,628	12,628	D
Option (right to buy)^F10	$50.67	holding	—	—	—	—	Nov 1, 2027	Eaton Vance Corp. Non-voting Common Stock	20,840	20,840	D

Explanation of responses

F1Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan.
F10Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
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, 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, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F5Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F6Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F7Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F8Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F9Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.