SEC Form 5 · accession 0001225208-18-016979

EATON VANCE CORP · EV

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

Reporting owner

Matthew J Witkos

Other

Period of report

Oct 31, 2018

Accepted (ET)

Dec 20, 2018 · 8:58 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
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 14, 2007	P	3	$48.2253	A	3	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 12, 2008	P	9	$34.8222	A	13	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 13, 2008	P	8	$39.966	A	21	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 12, 2008	P	9	$38.2599	A	30	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 11, 2008	P	18	$19.3228	A	47	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 10, 2009	P	16	$21.2583	A	7,067	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 18, 2009	P	13	$27.7201	A	27,392	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 17, 2009	P	12	$29.1574	A	26,885	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 16, 2009	P	12	$30.3697	A	43,658	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 16, 2010	P	12	$29.4705	A	46,777	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 11, 2010	P	11	$33.6375	A	47,280	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 16, 2010	P	13	$28.8289	A	47,293	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 11, 2010	P	14	$30.7886	A	61,073	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 14, 2011	P	0	$33.3333	A	62,810	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 10, 2011	P	0	$33.3333	A	63,282	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 15, 2011	P	0	$23.3333	A	62,624	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 16, 2011	P	0	$23.8095	A	90,116	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 13, 2012	P	0	$27.7778	A	95,843	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 16, 2012	P	0	$25.00	A	96,396	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 13, 2012	P	0	$27.2727	A	95,607	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 15, 2012	P	0	$28.5714	A	133,013	D
Eaton Vance Corp. Non-voting Common Stock^F2	Dec 21, 2012	P	0	$32.00	A	133,013	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 16, 2013	P	0	$43.2432	A	133,492	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 12, 2013	P	0	$40.00	A	133,492	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 14, 2013	P	287	$42.492	A	159,239	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 13, 2014	P	411	$37.2061	A	158,650	D
Eaton Vance Corp. Non-voting Common Stock^F2	May 14, 2014	P	419	$36.758	A	159,069	D
Eaton Vance Corp. Non-voting Common Stock^F2	Aug 13, 2014	P	426	$36.34	A	159,495	D
Eaton Vance Corp. Non-voting Common Stock^F2	Nov 13, 2014	P	424	$41.7472	A	178,181	D
Eaton Vance Corp. Non-voting Common Stock^F2	Feb 11, 2015	P	540	$41.7984	A	178,722	D

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	$24.4595	holding	—	—	—	—	Nov 1, 2021	Eaton Vance Corp. Non-voting Common Stock	4,088	4,088	D
Option (right to buy)^F4	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	33,411	33,411	D
Option (right to buy)^F5	$28.6858	holding	—	—	—	—	Nov 1, 2020	Eaton Vance Corp. Non-voting Common Stock	30,673	30,673	D
Option (right to buy)^F6	$34.84	holding	—	—	—	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	127,340	127,340	D
Option (right to buy)^F7	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	108,580	108,580	D
Option (right to buy)^F8	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	105,220	105,220	D
Option (right to buy)^F9	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	91,760	91,760	D
Option (right to buy)^F10	$50.67	holding	—	—	—	—	Nov 1, 2027	Eaton Vance Corp. Non-voting Common Stock	79,660	79,660	D

Explanation of responses

F1All transactions reported in this Form 5 using Transaction Code P4 represent previously unreported acquisitions under broker-sponsored dividend reinvestment programs.
F10Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
F2As of October 31, 2018 (the most recent fiscal year end), the total number of shares directly owned was 194,531.8408, after giving effect to all of the transactions reported on this Form 5. The amounts otherwise appearing in column 5 are automatically generated by the software used to prepare this report and do not reflect all direct holdings as of the date of the transaction being reported.
F3Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
F4Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F5Granted on November 1, 2010, 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%.