-----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, RpAxP9CJfKIiofykrlUpMOGqL9O0cBhWDyMZ1tbF7WosytxFKR2oxOe8WBH36r3E 9f39odDyZiEOng1A8s+foA== 0000350797-07-000114.txt : 20071214 0000350797-07-000114.hdr.sgml : 20071214 20071214121336 ACCESSION NUMBER: 0000350797-07-000114 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071031 FILED AS OF DATE: 20071214 DATE AS OF CHANGE: 20071214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAWKES JAMES B CENTRAL INDEX KEY: 0001225368 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 071306555 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 5 1 haw391.xml X0202 5 2007-10-31 0 0 0 0000350797 EATON VANCE CORP EV 0001225368 HAWKES JAMES B THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 1 1 0 0 CEO Eaton Vance Corp. Common Stock (Voting) 74240.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 3811108.00 D Eaton Vance Corp. Non-voting Common Stock 125502.00 I By Daughter Eaton Vance Corp. Non-voting Common Stock 195440.00 I By Spouse Eaton Vance Corp. Non-voting Common Stock 961881.00 I Stock Option Income Deferral Voting Trust Receipt 74240.00 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 188400.00 188400.00 D Option (right to buy) 12.27 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 311848.00 311848.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 340226.00 340226.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 385528.00 385528.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 397490.00 397490.00 D Option (right to buy) 21.96 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 341600.00 341600.00 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 277000.00 277000.00 D Option (right to buy) 30.11 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 261000.00 261000.00 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, 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, G. West Saltonstall, Lisa Jones, Robert Whelan and Matthew Witkos are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. Adjusted to include dividend reinvestment as follows: 11/17/06 - 3,645 shares at $31.2455; 2/14/07 - 3,184 shares at $35.9098; 5/14/07 - 3,015 shares at $38.0733, 8/15/2007 2,815 shares at $40.90. Shares credited under the company's Stock Option Income Deferral Plan. A Voting Trust Receipt represents a share of Voting Common Stock. Granted on 11/1/2003 these options vest 100% on 11/3/2007 Granted 11/1/1999 these options vest 20% per year beginning 11/1/2000. Granted on 11/1/2000 these options vest 21% on 11/2/2001, 11/1/2002, 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, 11/1/2004, 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 11/1/2003 these options vest 20.5% on 11/3/2004, 11/3/2005, 11/3/2006, 11/3/2008 and 18% 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%. By: Katie McManus, Attorney in Fact 2007-12-14 -----END PRIVACY-ENHANCED MESSAGE-----