-----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, Rr5Un5IUlmggFCt7v0r3oaaXV2+GoZVtdb/kDy44aNknxDmj9f4ftfnQ5rfNQOBu 8OgDesXK714b4equvnIJ2w== 0000350797-06-000029.txt : 20060705 0000350797-06-000029.hdr.sgml : 20060704 20060705102043 ACCESSION NUMBER: 0000350797-06-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060630 FILED AS OF DATE: 20060705 DATE AS OF CHANGE: 20060705 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: DYNNER ALAN R CENTRAL INDEX KEY: 0001225366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 06941655 BUSINESS ADDRESS: BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 4 1 dyn249.xml X0202 4 2006-06-30 0 0000350797 EATON VANCE CORP EV 0001225366 DYNNER ALAN R THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 0 1 0 0 Voting Trustee Eaton Vance Corp. Non-voting Common Stock 2006-05-03 5 A 0 558 22.38 A 376576.00 D Eaton Vance Corp. Non-voting Common Stock 2006-06-30 4 M 0 34840 5.73 A 411416.00 D Eaton Vance Corp. Non-voting Common Stock 2006-06-30 4 M 0 6974 15.77 A 418390.00 D Eaton Vance Corp. Common Stock (Voting) 37116.00 I By Voting Trust Voting Trust Receipt 37116.00 D Option (right to buy) 15.77 2006-06-30 4 M 0 6974 0 D 2006-11-01 Eaton Vance Corp. Non-voting Common Stock 6974.00 0.00 D Option (right to buy) 5.73 2006-06-30 4 M 0 34840 0 D 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 34840.00 45160.00 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) 8.59 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 60000.00 60000.00 D Option (right to buy) 12.27 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 51848.00 51848.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 62426.00 62426.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 71528.00 71528.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 80600.00 80600.00 D Option (right to buy) 21.96 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 68400.00 68400.00 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 58200.00 58200.00 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 James B. Hawkes, Thomas E. Faust, Wharton P. Whitaker, William M. Steul, Alan R. Dynner, Duncan Richardson, Thomas Metzold, Robert MacIntosh, Payson Swaffield, Jeffrey P. Beale, Michael Mach, Judith Saryan, Scott Page, Cynthia Clemson, Michael Weilheimer, and G. West Saltonstall 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 on 11/1/2001 these options vest 100% on 11/1/2006 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 14%, 14%, 14%, 36%, and 22% respectively. Granted on 11/1/2002 these option vest 100% on 11/1/2006 Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. Granted on 11/1/2000 these option vest 23% on 11/1/2001, 11/1/2002, 11/1/2003, 11/1/2005 and 8% on 11/1/2004 Granted on 11/1/2001 these options vest 22% 11/1/2002, 11/1/2003, 11/1/2004 11/1/2006 and 12% on 11/1/2005 Granted on 11/1/2002 these options vest 22% on 11/1/2003, 11/1/2004, 11/2/2005, 11/1/2007 and 12% on 11/1/2006 Granted on November 3, 2003, these options vest over a 5 year period at 20% per year. Granted on November 1, 2004 these options vest over a 5 year period at 20% per year. Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. By: Katie McManus, Attorney in Fact 2006-06-30 -----END PRIVACY-ENHANCED MESSAGE-----