-----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, LZa0yhbLVBPwhn4KcK3fj1g2x200uTw2IrS5TCQ43aPvGIJ/eQbvrGdDrCZqBOwC cjwtk8oZAuuHz+RaOfrcyw== 0000350797-06-000099.txt : 20061206 0000350797-06-000099.hdr.sgml : 20061206 20061206084055 ACCESSION NUMBER: 0000350797-06-000099 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061031 FILED AS OF DATE: 20061206 DATE AS OF CHANGE: 20061206 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 061258943 BUSINESS ADDRESS: BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 5 1 bea282.xml X0202 5 2006-10-31 0 0 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 2005-12-20 5 G 0 2000 0 D 128592.32 D Eaton Vance Corp. Non-voting Common Stock 2006-01-13 5 G 0 2000 27.94 D 126592.32 D Eaton Vance Corp. Non-voting Common Stock 2006-05-01 5 A 0 558 22.38 A 127150.32 D Eaton Vance Corp. Common Stock (Voting) 9344.00 I By Voting Trust Voting Trust Receipt 9344.00 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 80000.00 80000.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 76400.00 76400.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 82400.00 82400.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 84600.00 84600.00 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 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. 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 2006-12-05 -----END PRIVACY-ENHANCED MESSAGE-----