FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EATON VANCE CORP [ EV ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/26/2005 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Eaton Vance Corp. Non-voting Common Stock | 11/18/2004 | A | V | 16,752 | A(1) | $20.89 | 1,426,644 | D | ||
Eaton Vance Corp. Non-voting Common Stock | 12/21/2004 | G | V | 4,800 | D | $0 | 1,421,844 | D | ||
Eaton Vance Corp. Non-voting Common Stock | 05/02/2005 | A | V | 631 | A(2) | $19.76 | 1,422,475 | D | ||
Eaton Vance Corp. Non-voting Common Stock | 10/26/2005 | M | 8,152 | A | $13.49 | 1,430,627 | D | |||
Eaton Vance Corp. Common Stock (Voting) | 55,812 | I | By Voting Trust(3) | |||||||
Eaton Vance Corp. Non-voting Common Stock | 223,080 | I | Stock Option Income Deferral(4) | |||||||
Voting Trust Receipt(5) | 55,812 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $13.49 | 10/26/2005 | M | 8,152 | (6) | 11/01/2005 | Eaton Vance Corp. Non-voting Common Stock | 8,152 | $0 | 0.00 | D | ||||
Option (right to buy) | $15.77 | (7) | 11/01/2006 | Eaton Vance Corp. Non-voting Common Stock | 6,974 | 6,974 | D | ||||||||
Option (right to buy) | $5.74 | (8) | 11/02/2006 | Eaton Vance Corp. Non-voting Common Stock | 142,580 | 142,580 | D | ||||||||
Option (right to buy) | $14.34 | (9) | 11/01/2007 | Eaton Vance Corp. Non-voting Common Stock | 270,826 | 270,826 | D | ||||||||
Option (right to buy) | $16.01 | (10) | 11/01/2007 | Eaton Vance Corp. Non-voting Common Stock | 6,872 | 6,872 | D | ||||||||
Option (right to buy) | $19.26 | (11) | 11/03/2008 | Eaton Vance Corp. Non-voting Common Stock | 5,710 | 5,710 | D | ||||||||
Option (right to buy) | $8.6 | (12) | 11/01/2009 | Eaton Vance Corp. Non-voting Common Stock | 108,400 | 108,400 | D | ||||||||
Option (right to buy) | $12.27 | (13) | 11/01/2010 | Eaton Vance Corp. Non-voting Common Stock | 241,848 | 241,848 | D | ||||||||
Option (right to buy) | $14.55 | (14) | 11/01/2012 | Eaton Vance Corp. Non-voting Common Stock | 307,128 | 307,128 | D | ||||||||
Option (right to buy) | $17.51 | (15) | 11/03/2013 | Eaton Vance Corp. Non-voting Common Stock | 316,890 | 316,890 | D | ||||||||
Option (right to buy) | $21.96 | (16) | 11/01/2014 | Eaton Vance Corp. Non-voting Common Stock | 273,200 | 273,200 | D |
Explanation of Responses: |
1. These shares were acquired under the 1992 Incentive Stock Alternative Plan, which is a 16b-3 plan. |
2. These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. |
3. All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Mssrs. James B. Hawkes, Thomas E. Faust, Jr., Alan R. Dynner, William M. Steul, Wharton P. Whitaker, Thomas J. Fetter, Duncan W. Richardson, Jeffrey P. Beale, Scott H. Page, Payson F. Swaffield and Michael W. Weilheimer are the voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. |
4. Shares credited under the company's Stock Option Income Deferral Plan. |
5. A Voting Trust Receipt represents a share of Voting Common Stock. |
6. Granted on 11/1/2000 these options vest 100% on 11/1/2004 |
7. Granted on 11/1/2001 these options vest 100% on 11/1/2005 |
8. Granted on 11/2/1998 these options vest 25% per year beginning 11/2/1999 |
9. Granted on 11/1/2001 these options vest 20.5% on 11/1/2002 , 11/1/2003 , 11/2/2004 , 11/1/2006 and 18% on 11/1/2005 |
10. Granted on 11/1/2002 these options vest 100% 11/1/2006. |
11. Granted on 11/3/2003 these options vest 100% on 11/3/2007. |
12. Granted on 11/1/1999 these options vest 20% per year beginning 11/1/2000 |
13. Granted on 11/1/2000 these options vest 21% on 11/1/2001, 11/2/2002, 11/1/2003, 11/1/2005 and 16% on 11/1/2004 |
14. Granted on 11/1/2002 these options vest 20.5% on 11/1/2003 , 11/1/2004, 11/1/2005 , 11/1/2007 and 18% on 11/1/2006 |
15. Granted on 11/3/2003 these options vest 20.3% on 11/3/2004 , 11/3/2005, 11/3/2006, 11/3/2008 and 19% on 11/3/2007. |
16. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year. |
Remarks: |
**All shares and prices have been adjusted to reflect a 2-for-1 stock split on 1/14/2005. |
By: Katie McManus, Attorney in Fact | 10/27/2005 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |