SEC Form 4 · accession 0001225208-18-015186
EATON VANCE CORP · EV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paula A Johnson
Director
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 5:14 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 |
| Deferred Stock | $0.00 | holding | — | — | — | Oct 24, 2020 | Oct 24, 2020 | Eaton Vance Corp. Non-voting Common Stock | 3,315 | 3,315 | 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.