SEC Form 4 · accession 0001225208-18-016983

EATON VANCE CORP · EV

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

Reporting owner

Matthew J Witkos

Other

Period of report

Nov 15, 2018

Accepted (ET)

Dec 20, 2018 · 9:33 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^F2	Nov 15, 2018	P	21	$43.6557	A	344	I	By Trust
Eaton Vance Corp. Non-voting Common Stock	holding	—	—		—	230,310	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	$24.4595	holding	—	—	—	—	Nov 1, 2021	Eaton Vance Corp. Non-voting Common Stock	4,088	4,088	D
Option (right to buy)^F5	$28.227	holding	—	—	—	—	Nov 1, 2022	Eaton Vance Corp. Non-voting Common Stock	33,411	33,411	D
Option (right to buy)^F6	$28.6858	holding	—	—	—	—	Nov 1, 2020	Eaton Vance Corp. Non-voting Common Stock	30,673	30,673	D
Option (right to buy)^F7	$34.84	holding	—	—	—	—	Nov 1, 2026	Eaton Vance Corp. Non-voting Common Stock	127,340	127,340	D
Option (right to buy)^F8	$36.71	holding	—	—	—	—	Nov 3, 2024	Eaton Vance Corp. Non-voting Common Stock	108,580	108,580	D
Option (right to buy)^F9	$36.76	holding	—	—	—	—	Nov 2, 2025	Eaton Vance Corp. Non-voting Common Stock	105,220	105,220	D
Option (right to buy)^F10	$41.90	holding	—	—	—	—	Nov 1, 2023	Eaton Vance Corp. Non-voting Common Stock	91,760	91,760	D
Option (right to buy)^F11	$45.50	holding	—	—	—	—	Nov 1, 2028	Eaton Vance Corp. Non-voting Common Stock	106,520	106,520	D
Option (right to buy)^F12	$50.67	holding	—	—	—	—	Nov 1, 2027	Eaton Vance Corp. Non-voting Common Stock	79,660	79,660	D

Explanation of responses

F1Transaction reported on this Form 4 represents acqusition under a broker-sponsored dividend program.
F10Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F11Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F12Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.
F2The total number of shares indirectly owned (by the Trust) is 2,694 after giving effect to the transaction reported on this Form 4. This number includes 2,350 shares previously reported as directly owned. The amount otherwise appearing in column 5 is automatically generated by the software used to prepare this report and does not reflect all indirect holdings as of the date of the transaction being reported.
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, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 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, 2010, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F7Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
F8Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
F9Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.