SEC Form 4 · accession 0001225208-18-015185
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie E Rozen
Officer — Chief Accounting Officer
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 5:13 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 StockF1 | Feb 16, 2018 | A | 711 | $46.35 | A | 5,292 | D | |
| Eaton Vance Corp. Non-voting Common StockF2 | May 1, 2018 | A | 246 | $45.603 | A | 5,538 | D | |
| Eaton Vance Corp. Non-voting Common StockF3 | Nov 1, 2018 | A | 3,253 | $0.00 | A | 8,791 | D | |
| Eaton Vance Corp. Non-voting Common StockF4 | Nov 1, 2018 | F | 71 | $45.50 | D | 8,720 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired under the 2013 Incentive Compensation Employee Stock Purchase Plan, which is a 16b-3 Plan.
- F2These shares were acquired under the 2013 Employee Stock Purchase Plan, which is a 16b-3 Plan.
- F3Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan.
- F4Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.