-----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, JTeLzifDSCxmFBLU61LgpsNkTqzpaSZhjYU7qb84mdOudTQEIuwXZy/JnTyxJYZn CDZ2wuZkL0K/COr5lpBNDw== 0000350797-06-000040.txt : 20061030 0000350797-06-000040.hdr.sgml : 20061030 20061030142555 ACCESSION NUMBER: 0000350797-06-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061026 FILED AS OF DATE: 20061030 DATE AS OF CHANGE: 20061030 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: 061171565 BUSINESS ADDRESS: BUSINESS PHONE: 6174828260 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 fau262.xml X0202 4 2006-10-26 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 2005-12-16 5 G 0 4750 0 D 1426472.00 D Eaton Vance Corp. Non-voting Common Stock 2006-05-01 5 A 0 558 22.38 A 1427030.00 D Eaton Vance Corp. Non-voting Common Stock 2006-10-26 2006-10-26 4 M 0 6974 15.77 A 1434004.00 D Eaton Vance Corp. Non-voting Common Stock 2006-10-26 2006-10-26 4 M 0 70000 5.74 A 1504004.00 D Eaton Vance Corp. Non-voting Common Stock 2006-10-26 2006-10-26 4 M 0 72580 5.74 A 1576584.00 D Eaton Vance Corp. Non-voting Common Stock 2006-10-26 2006-10-26 4 F 0 13382 0 D 1563202.00 D Eaton Vance Corp. Non-voting Common Stock 2006-10-26 2006-10-26 4 F 0 22849 0 D 1540353.00 D Eaton Vance Corp. Common Stock (Voting) 55812.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 223080.00 I Stock Option Income Deferral Voting Trust Receipt 55812.00 D Option (right to buy) 15.77 2006-10-26 2006-10-26 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) 5.74 2006-10-26 2006-10-26 4 M 0 70000 0 D 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 70000.00 72580.00 D Option (right to buy) 5.74 2006-10-26 2006-10-26 4 M 0 72580 0 D 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 72580.00 0.00 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 108400.00 108400.00 D Option (right to buy) 12.27 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 241848.00 241848.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 270826.00 270826.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 307128.00 307128.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 316890.00 316890.00 D Option (right to buy) 21.96 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 273200.00 273200.00 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 221600.00 221600.00 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. Shares credited under the company's Stock Option Income Deferral Plan. A Voting Trust Receipt represents a share of Voting Common Stock. Granted on 11/1/2001 these options vest 100% on 11/1/2005 Granted on 11/2/1998 these options vest 25% per year beginning 11/2/1999 Granted on 11/1/2002 these options vest 100% 11/1/2006. Granted on 11/3/2003 these options vest 100% on 11/3/2007. Granted on 11/1/1999 these options vest 20% per year beginning 11/1/2000 Granted on 11/1/2000 these options vest 21% on 11/1/2001, 11/2/2002, 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 , 11/2/2004 , 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 11/3/2003 these options vest 20.3% on 11/3/2004 , 11/3/2005, 11/3/2006, 11/3/2008 and 19% on 11/3/2007. 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 2006-10-26 -----END PRIVACY-ENHANCED MESSAGE-----