-----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, Sf01qpcO9VM4mntm/NsbWK3w9wBhnxeDqaI8DmrbWZgTWpwET8HeVbTu+Asz8nKb G5kqkwj44EXw82LQSTFEKw== 0000350797-04-000037.txt : 20041029 0000350797-04-000037.hdr.sgml : 20041029 20041029170552 ACCESSION NUMBER: 0000350797-04-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031219 FILED AS OF DATE: 20041029 DATE AS OF CHANGE: 20041029 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: FAUST THOMAS E JR CENTRAL INDEX KEY: 0001225367 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 041107168 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 1 fau119.xml X0202 4 2003-12-19 0 0000350797 EATON VANCE CORP EV 0001225367 FAUST THOMAS E JR THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 1 1 0 0 Executive Vice President Eaton Vance Corp. Non-voting Common Stock 2003-12-19 5 G 0 2400 0 D 698371.00 D Eaton Vance Corp. Non-voting Common Stock 2004-05-03 5 A 0 395 31.51 A 698766.00 D Eaton Vance Corp. Non-voting Common Stock 2004-10-27 4 M 0 5800 18.91 A 704566.00 D Eaton Vance Corp. Common Stock (Voting) 27906.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 111540.00 I Stock Option Income Deferral Voting Trust Receipt 27906.00 D Option (right to buy) 0.00 2004-10-27 4 M 0 5800 0 D Eaton Vance Corp. Non-voting Common Stock 5800 54200 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 71290 71290 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 125000 125000 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 138900 138900 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 157000 157000 D Option (right to buy) 0.00 Eaton Vance Corp. Non-voting Common Stock 161300 161300 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. 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, 1999, the Incentive Stock Option has an exercise price of $18.9063 (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 $17.1875 (equal to fair market value at the time of grant). These options vest over 5 years starting in 2000 in increments of 18%, 18%, 18%, 28% and 18% respectively. The Incentive Stock Option has a 5 year life, expiring on November 1, 2004, 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, 2009. Granted on November 2, 1998, the Incentive Stock Option has an exercise price of $12.6157 (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 $11.4688 (equal to fair market value at the time of grant). 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 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 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). These options vest over 4 years starting in 1999 in increments of 22.3%, 22.3%, 22.3% and 33.1% respectively. These options vest over a 5 year period at 20% per year. The Incentive Stock Option has a 5 year life, expiring on November 2, 2003, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an 8 year life, expiring on November 2, 2006. 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 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. 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 number of shares beneficially owned increased by 1,000 shares to correct a clerical error. By: Katie McManus, Attorney in Fact 2004-10-29 -----END PRIVACY-ENHANCED MESSAGE-----