-----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, JkTAhk5p6YRLhvNXb9yv9wc1U5DQhSu4LvrL9ZXFL8xIMXB2d9QoTqLBC9k0hBcR rnl/F5cdBgRTY1wJgoQkng== 0000350797-04-000040.txt : 20041103 0000350797-04-000040.hdr.sgml : 20041103 20041103155707 ACCESSION NUMBER: 0000350797-04-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031103 FILED AS OF DATE: 20041103 DATE AS OF CHANGE: 20041103 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 041116446 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 bea120.xml X0202 4 2003-11-03 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. Non-voting Common Stock 2003-11-03 5 A 0 244 26.56 A 53478.32 D Eaton Vance Corp. Non-voting Common Stock 2004-04-12 5 G 0 1000 0 D 52478.32 D Eaton Vance Corp. Non-voting Common Stock 2004-05-01 5 A 0 206 31.52 A 52684.32 D Eaton Vance Corp. Non-voting Common Stock 2004-11-01 5 A 0 198 32.78 A 52882.32 D Eaton Vance Corp. Common Stock (Voting) 4672.00 I By Voting Trust Voting Trust Receipt 4672.00 D Option (right to buy) 43.91 2004-11-01 4 A 0 32400 0 A 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 32400.00 32400.00 D Option (right to buy) 11.47 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 12800.00 12800.00 D Option (right to buy) 17.19 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 30000.00 30000.00 D Option (right to buy) 24.53 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 40000.00 40000.00 D Option (right to buy) 28.67 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 38200.00 38200.00 D Option (right to buy) 29.10 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 41200.00 41200.00 D Option (right to buy) 35.02 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 42300.00 42300.00 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. 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, 2004 these options vest over a 5 year period at 20% per year. 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. Granted on November 3, 2003, these options vest over a 5 year period at 20% per year. By: Katie McManus, Attorney in Fact 2004-11-03 -----END PRIVACY-ENHANCED MESSAGE-----