FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
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Form 3 Holdings Reported. | ||||||||||||||||
Form 4 Transactions Reported. |
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. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 10/31/2003 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Eaton Vance Corp. Non-voting Common Stock | 12/23/2002 | G | 1,800 | D | $0 | 228,277 | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 01/06/2003 | G | 1,450 | D | $0 | 226,827 | D | ||||||||
Eaton Vance Corp. Common Stock (Voting) | 18,558 | I | By Voting Trust(1) | ||||||||||||
Eaton Vance Corp. Non-voting Common Stock | 41,151(2) | I | Stock Option Income Deferral(3) | ||||||||||||
Voting Trust Receipt(4) | 18,558 | 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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Option (right to buy)(5) | $0.00(6) | 3 | (9) | (12) | Eaton Vance Corp. Non-voting Common Stock | 30,000 | 30,000 | D | ||||||
Option (right to buy)(5) | $0.00(7) | 3 | (9) | (13) | Eaton Vance Corp. Non-voting Common Stock | 34,700 | 34,700 | D | ||||||
Option (right to buy)(5) | $0.00(8) | 3 | (9) | (14) | Eaton Vance Corp. Non-voting Common Stock | 39,200 | 39,200 | D | ||||||
Option (right to buy)(5) | $11.47 | 3 | (10) | 11/02/2006 | Eaton Vance Corp. Non-voting Common Stock | 28,490 | 28,490 | D | ||||||
Option (right to buy)(5) | $17.19 | 3 | (11) | 11/01/2009 | Eaton Vance Corp. Non-voting Common Stock | 30,000 | 30,000 | D |
Explanation of Responses: |
1. 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. |
2. Adjusted to include dividend reinvestment as follows: 11/11/02 - 113 shares @$28.60; 2/20/03 - 124 shares @$26.05; 5/12/03 - 106 shares @$30.93; 8/11/03 - 147 shares @$33.33 |
3. Shares credited under the company's Stock Option Income Deferral Plan. |
4. A Voting Trust Receipt represents a share of Voting Common Stock. |
5. Granted under the 1998 Stock Option Plan, which is a 16b-3 plan. |
6. Granted on November 1, 2000, the Incentive Stock Option has an exercise price of $26.9844 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $24.5313 (equal to fair market value at the time of grant). |
7. Granted on November 1, 2001, the Incentive Stock Option has an exercise price of $31.537 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $28.67 (equal to fair market value at the time of grant). |
8. Granted on November 1, 2002, the Incentive Stock Option has an exercise price of $32.01 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $29.10 (equal to fair market value at the time of grant). |
9. These options vest over a 5 year period at 20% per year. |
10. Granted on November 2, 1998, these options vest over 5 years starting in 1999 in increments of 12.33%, 12.33%, 19.33%, 34% and 22% respectively. |
11. Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. |
12. The Incentive Stock Option has a 5 year life, expiring on November 1, 2005, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2010. |
13. The Incentive Stock Option has a 5 year life, expiring on November 1, 2006, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2011. |
14. The Incentive Stock Option has a 5 year life, expiring on November 1, 2007, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2012. |
Remarks: |
By: Katie McManus, Attorney in Fact | 12/15/2003 | |
** 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. |