-----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, Jv1mE6HSdpWU06cTmXfahcclvRLFNDRJCgBnTw6wbzKzsBe96a9pwrp3weS8/MJJ OdbqTEISfM8P4H5w7/aSRw== 0001225208-09-015674.txt : 20090715 0001225208-09-015674.hdr.sgml : 20090715 20090715100055 ACCESSION NUMBER: 0001225208-09-015674 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090714 FILED AS OF DATE: 20090715 DATE AS OF CHANGE: 20090715 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: Whelan Robert J CENTRAL INDEX KEY: 0001312144 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 09945021 MAIL ADDRESS: STREET 1: TEN POST OFFICE SQUARE CITY: BOSTON STATE: MA ZIP: 02109 4 1 doc4.xml X0303 4 2009-07-14 0000350797 EATON VANCE CORP EV 0001312144 Whelan Robert J TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Chief Financial Officer Eaton Vance Corp. Non-voting Common Stock 2008-11-18 5 A 0 11460 17.452 A 11460 D Eaton Vance Corp. Non-voting Common Stock 2009-05-01 5 A 0 582 19.791 A 26509 D Eaton Vance Corp. Non-voting Common Stock 2009-07-14 4 F 0 311 24.8764 D 26198 D Voting Trust Receipt 18623 D Eaton Vance Corp. Common Stock (Voting) 18623 I By Voting Trust Option (right to buy) 45.22 2017-07-11 Eaton Vance Corp. Non-voting Common Stock 14143 14143 D Option (right to buy) 48.39 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 15700 15700 D Option (right to buy) 21.99 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 32700 32700 D These shares were acquired under the 1992 Incentive Stock Alternative Plan, which is a 16b-3 plan. 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 Thomas E. Faust, Duncan Richardson, Jeffrey P. Beale, Lisa Jones, G. West Saltonstall, Payson Swaffield, Robert J. Whelan, Matthew J. Witkos, Maureen Gemma, Fredrick Marius, Cynthia Clemson, Michael R. Mach, Robert MacIntosh, Thomas M. Metzold, Scott H. Page, Judith Saryan, Michael Weilheimer, Walter Row, Mark Venezia, David Stein, and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. Granted on July 11, 2007 these options vest over a 5 year period starting in 2008 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%. Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Katie McManus, Attorney in Fact 2009-07-14 -----END PRIVACY-ENHANCED MESSAGE-----