-----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, Rd7ZevNk09aOA9QBNQZgteKJTu1cL2NLmOBEhNerEIaD9w09AVL4EQn8xGXp2yic yJ8oBZOBw7zsUNRS5g5f9g== 0000350797-04-000029.txt : 20040915 0000350797-04-000029.hdr.sgml : 20040915 20040915164808 ACCESSION NUMBER: 0000350797-04-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040503 FILED AS OF DATE: 20040915 DATE AS OF CHANGE: 20040915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITAKER WHARTON P CENTRAL INDEX KEY: 0001226183 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 041032086 BUSINESS ADDRESS: STREET 1: C/O EATON VANCE STREET 2: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6174828260 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 4 1 whi115.xml X0202 4 2004-05-03 0 0000350797 EATON VANCE CORP EV 0001226183 WHITAKER WHARTON P THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 0 1 0 0 President, EV Distributors Eaton Vance Corp. Non-voting Common Stock 2004-05-03 5 A 0 396 31.51 A 651371.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-13 4 S 0 19780 40.09 D 631591.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-13 4 S 0 21400 40.09 D 610191.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-13 4 M 0 19780 11.47 A 629971.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-13 4 M 0 21400 17.19 A 651371.00 D Eaton Vance Corp. Common Stock (Voting) 18558.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 31515.00 I Stock Option Income Deferral Voting Trust Receipt 18558.00 D Option (right to buy) 11.47 2004-09-13 4 M 0 19780 0 D 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 19780.00 8710.00 D Option (right to buy) 17.19 2004-09-13 4 M 0 21400 0 D 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 21400.00 8600.00 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 30000.00 30000.00 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 34700.00 34700.00 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 39200.00 39200.00 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 35800.00 35800.00 D These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. 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. Adjusted to include dividend reinvestment as follows: 2/9/2004 - 98 shares @ $38.08; 5/10/2004 - 106 shares @ $35.27; and 8/9/2004 - 132 shares @ $35.81 Shares credited under the company's Stock Option Income Deferral Plan. 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 5 years starting in 1999 in increments of 12.33%, 12.33%, 19.33%, 34% and 22% respectively. Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. 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). 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). Granted on November 3, 2003, the Incentive Stock Option has an exercise price of $38.522 (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 $35.02 (equal to fair market value at the time of grant). 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). These options vest over a 5 year period at 20% per year. 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. 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. The Incentive Stock Option has a 5 year life, expiring on November 3, 2008, 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 3, 2013. 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. By: Katie McManus, Attorney in Fact 2004-09-15 -----END PRIVACY-ENHANCED MESSAGE-----