SEC Form 4 · accession 0001225208-18-015203

EATON VANCE CORP · EV

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

Reporting owner

Laurie G Hylton

Officer — Chief Financial Officer

Period of report

Nov 2, 2018

Accepted (ET)

Nov 6, 2018 · 10:59 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^F1	Nov 2, 2018	F	674	$45.44	D	236,850	D
Eaton Vance Corp. Non-voting Common Stock^F1	Nov 3, 2018	F	1,945	$45.44	D	234,905	D
Voting Trust Receipt	holding	—	—		—	18,623	D
Eaton Vance Corp. Non-voting Common Stock	holding	—	—		—	9,080	I	By Custodian For Children
Eaton Vance Corp. Common Stock (Voting)^F2	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)^F3	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	20,861	20,861	D
Option (right to buy)^F4	$34.84	holding	—	—	—	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	58,380	58,380	D
Option (right to buy)^F5	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	51,360	51,360	D
Option (right to buy)^F6	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	51,000	51,000	D
Option (right to buy)^F7	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	32,240	32,240	D
Option (right to buy)^F8	$45.50	holding	—	—	—	—	Nov 1, 2028	Eaton Vance Corp. Non-voting Common Stock	55,104	55,104	D
Option (right to buy)^F9	$50.67	holding	—	—	—	—	Nov 1, 2027	Eaton Vance Corp. Non-voting Common Stock	34,840	34,840	D

Explanation of responses

F1Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.
F2All 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.
F3Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F4Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F5Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F6Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F7Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F8Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F9Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.