-----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, EYlnPb3BQkO+k/2uzQFzLZdZG1VdZhPxeW/i0nbAT4hPpidkFus46gsxuYA+ao2a PMTr1LB02nb3nEvy1GPxzQ== 0000350797-04-000031.txt : 20040920 0000350797-04-000031.hdr.sgml : 20040920 20040920115713 ACCESSION NUMBER: 0000350797-04-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040916 FILED AS OF DATE: 20040920 DATE AS OF CHANGE: 20040920 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: 041037027 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 whi116.xml X0202 4 2004-09-16 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 2004-09-16 4 M 0 2600 17.19 A 653971.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-16 4 M 0 18000 24.53 A 671971.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-16 4 S 0 2600 39.99 D 669371.00 D Eaton Vance Corp. Non-voting Common Stock 2004-09-16 4 S 0 18000 39.99 D 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) 0.00 2004-09-16 4 M 0 18000 0 D Eaton Vance Corp. Non-voting Common Stock 18000.00 12000.00 D Option (right to buy) 17.19 2004-09-16 4 M 0 2600 0 D 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 2600.00 6000.00 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 Option (right to buy) 11.47 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 8710.00 8710.00 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. 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 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). These options vest over a 5 year period at 20% per year. Granted on November 1, 1999, 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. 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). 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. 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 2004-09-20 -----END PRIVACY-ENHANCED MESSAGE-----