-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, US3hc4j5c0aep+zEokAq/cBzzlKQrIfaAqQ2XO3Yfi44iLdghSTljQqEnWUnbteJ KoLMubiwtJSwit5fjPVs9A== 0000350797-03-000041.txt : 20031106 0000350797-03-000041.hdr.sgml : 20031106 20031106162105 ACCESSION NUMBER: 0000350797-03-000041 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031103 FILED AS OF DATE: 20031106 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EATON VANCE CORP CENTRAL INDEX KEY: 0000350797 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 042718215 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STEET STREET 2: 11TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BEALE JEFFREY P CENTRAL INDEX KEY: 0001225358 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 03982588 BUSINESS ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 4/A 1 bea65.xml X0201 4/A 2003-11-03 2003-11-05 0 0000350797 EATON VANCE CORP EV 0001225358 BEALE JEFFREY P THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 0 1 0 0 Chief Administrative Officer Eaton Vance Corp. Common Stock (Voting) 4672 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 49635 D Voting Trust Receipt 4672 D Option (right to buy) 11.4688 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 16800 16800 D Option (right to buy) 17.1875 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 30000 30000 D Option (right to buy) 24.5313 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 40000 40000 D Option (right to buy) 28.6700 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 38200 38200 D Option (right to buy) 29.1000 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 41200 41200 D 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. Amendment made to the Eaton Vance Corp. Non-voting common stock direct holdings . The balance carried forward was reported directly from Mr. Beale's Form 4 dated December 2, 2002 and failed to reflect his updated holdings, which were reported on his Form 5 filed December 14, 2002. A Voting Trust Receipt represents a share of Voting Common Stock. Granted under the 1998 Stock Option Plan, which is a 16b-3 plan. Granted on November 2, 1998, these options vest over 4 years at 25% per year. Granted on November 1, 1999, these options vest over 5 years starting in 2000 in increments of 13.33%, 13.33%, 13.33%, 30%, and 30% respectively. Granted on November 1, 2000, these options vest over a 5 year period at 20% per year. Granted on November 1, 2001, these options vest over a 5 year period at 20% per year. Granted on November 1, 2002, these options vest over a 5 year period at 20% per year. By: Katie McManus, Attorney in Fact 2003-11-06 -----END PRIVACY-ENHANCED MESSAGE-----