-----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, WY/1wTMnuF0AVIiaIhtOWpKpm60Z9zROrlWD5+0+bBZGs8SvnjqxSlWaHCpkimIa yAIMOQMnH1XfekXZ4xaQzQ== 0000350797-07-000094.txt : 20071129 0000350797-07-000094.hdr.sgml : 20071129 20071129160248 ACCESSION NUMBER: 0000350797-07-000094 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071127 FILED AS OF DATE: 20071129 DATE AS OF CHANGE: 20071129 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: FAUST THOMAS E JR CENTRAL INDEX KEY: 0001225367 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 071274977 BUSINESS ADDRESS: BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 4 1 fau375.xml X0202 4 2007-11-27 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. Common Stock (Voting) 2007-11-27 4 J 0 18465 3.93 A 74277.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 2007-11-01 5 A 0 365 50.03 A 1577319.00 D Eaton Vance Corp. Non-voting Common Stock 2007-11-19 5 A 0 13800 41.66 A 1591119.00 D Voting Trust Receipt 2007-11-27 4 J 0 18465 0 A 74277.00 D Eaton Vance Corp. Non-voting Common Stock 223080.00 I Stock Option Income Deferral 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 Option (right to buy) 30.11 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 210800.00 210800.00 D Option (right to buy) 48.39 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 279400.00 279400.00 D Voting Trust shares redistributed by Eaton Vance. All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Thomas E. Faust, Duncan Richardson, Jeffrey P. Beale, Lisa Jones, G. West Saltonstall, Payson Swaffield, Robert J. Whelan, Matthew J. Witkos, John Pelletier, Cynthia Clemson, Michael R. Mach, Robert MacIntosh, Thomas M. Metzold, Scott H. Page, Judith Saryan, Michael Weilheimer, Walter Row 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. Shares credited under the company's Stock Option Income Deferral Plan. 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%. Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. By: Katie McManus, Attorney in Fact 2007-11-29 -----END PRIVACY-ENHANCED MESSAGE-----