-----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, NKKfWKZOebLntzsUpT8y0l9t3414fJOieQvloshrW76lkJuE1hkz2P7OxKM7RGa/ ijtRo4fLqttHgOoC3Z5B8Q== 0000350797-05-000028.txt : 20051103 0000350797-05-000028.hdr.sgml : 20051103 20051103123941 ACCESSION NUMBER: 0000350797-05-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051101 FILED AS OF DATE: 20051103 DATE AS OF CHANGE: 20051103 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: HAWKES JAMES B CENTRAL INDEX KEY: 0001225368 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 051175974 BUSINESS ADDRESS: BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 4 1 haw194.xml X0202 4 2005-11-01 0 0000350797 EATON VANCE CORP EV 0001225368 HAWKES JAMES B THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 1 1 0 0 President & CEO Eaton Vance Corp. Non-voting Common Stock 2005-11-01 5 A 0 596 20.95 A 3725903.00 D Eaton Vance Corp. Common Stock (Voting) 74240.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 124760.00 I By Daughter Eaton Vance Corp. Non-voting Common Stock 195440.00 I By Spouse Eaton Vance Corp. Non-voting Common Stock 949222.00 I Stock Option Income Deferral Voting Trust Receipt 74240.00 D Option (right to buy) 24.87 2005-11-01 4 A 0 277000 0 A 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 277000.00 277000.00 D Option (right to buy) 15.77 2006-11-01 Eaton Vance Corp. Non-voting Common Stock 6974.00 6974.00 D Option (right to buy) 5.74 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 262580.00 262580.00 D Option (right to buy) 16.01 2007-11-01 Eaton Vance Corp. Non-voting Common Stock 6872.00 6872.00 D Option (right to buy) 19.26 2008-11-03 Eaton Vance Corp. Non-voting Common Stock 5710.00 5710.00 D Option (right to buy) 8.60 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 188400.00 188400.00 D Option (right to buy) 12.27 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 311848.00 311848.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 340226.00 340226.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 385528.00 385528.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 397490.00 397490.00 D Option (right to buy) 21.96 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 341600.00 341600.00 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. 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, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on 11/1/2001 these options vest 100% on 11/1/2005 Granted 11/2/1998 these options vest 25% per year beginning 11/2/1999. Granted on 11/1/2002 these option vest 100% on 11/1/2006 Granted on 11/1/2003 these options vest 100% on 11/3/2007 Granted 11/1/1999 these options vest 20% per year beginning 11/1/2000. Granted on 11/1/2000 these options vest 21% on 11/2/2001, 11/1/2002, 11/1/2003, 11/1/2005 and 16% on 11/1/2004 Granted on 11/1/2001 these options vest 20.5% on 11/1/2002, 11/1/2003, 11/1/2004, 11/1/2006 and 18% on 11/1/2005 Granted on 11/1/2002 these options vest 20.5% on 11/1/2003, 11/1/2004, 11/1/2005, 11/1/2007 and 18% on 11/1/2006 Granted on 11/1/2003 these options vest 20.5% on 11/3/2004, 11/3/2005, 11/3/2006, 11/3/2008 and 18% on 11/3/2007 Granted on November 1, 2004 these options vest over a 5 year period at 20% per year. By: Katie McManus, Attorney in Fact 2005-11-03 -----END PRIVACY-ENHANCED MESSAGE-----