-----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, EQQLx0WnL1cls/7v+3K7GcqBJGVjWZaWEkCITZpv/ALVnnMNzoVbDNyJc9TSJdwc uH+n22kn47/OhB0mK7aqsQ== 0000350797-06-000037.txt : 20061025 0000350797-06-000037.hdr.sgml : 20061025 20061025101213 ACCESSION NUMBER: 0000350797-06-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061024 FILED AS OF DATE: 20061025 DATE AS OF CHANGE: 20061025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHARDSON DUNCAN W CENTRAL INDEX KEY: 0001257596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 061161722 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 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 ric256.xml X0202 4 2006-10-24 0 0000350797 EATON VANCE CORP EV 0001257596 RICHARDSON DUNCAN W THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 0 1 0 0 Executive Vice President Eaton Vance Corp. Non-voting Common Stock 2006-10-24 4 M 0 65160 5.73 A 464668.00 D Eaton Vance Corp. Non-voting Common Stock 15492.00 I By Voting Trust Voting Trust Receipt 15492.00 D Option (right to buy) 5.73 2006-10-24 4 M 0 65160 0 D 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 65160.00 0.00 D Option (right to buy) 8.59 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 72000.00 72000.00 D Option (right to buy) 12.27 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 200000.00 200000.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 250000.00 250000.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 282600.00 282600.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 273000.00 273000.00 D Option (right to buy) 21.96 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 259600.00 259600.00 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 210500.00 210500.00 D 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 under the 1998 Stock Option Plan, which is a 16b-3 plan. Granted on November 2, 1998, these options vest over a 4 year period at 25% per year. Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. 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. 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 2006-10-24 -----END PRIVACY-ENHANCED MESSAGE-----