-----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, CRD9ix7jPtYNCrZadd05JfQqfsgWqWIwOG5l6WI8hDAE8P4IMp+bqk742k0u08rP m+rC+XyE2ZWbsXFnsjyVDw== 0001225208-09-021388.txt : 20091103 0001225208-09-021388.hdr.sgml : 20091103 20091103093626 ACCESSION NUMBER: 0001225208-09-021388 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091102 FILED AS OF DATE: 20091103 DATE AS OF CHANGE: 20091103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WINTHROP H JR CENTRAL INDEX KEY: 0001287807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 091153025 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 doc4.xml X0303 4 2009-11-02 0000350797 EATON VANCE CORP EV 0001287807 SMITH WINTHROP H JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Option (right to buy) 28.17 2009-11-02 4 A 0 4766 0 A 2009-11-02 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 4766 4766 D Phantom Stock 0 2009-11-02 4 A 0 1775 0 A 2011-11-02 2011-11-02 Eaton Vance Corp. Non-voting Common Stock 1775 1775 D Option (right to buy) 18.985 2014-04-14 Eaton Vance Corp. Non-voting Common Stock 12000 12000 D Option (right to buy) 25.39 2014-12-17 Eaton Vance Corp. Non-voting Common Stock 12000 12000 D Option (right to buy) 27.58 2015-12-16 Eaton Vance Corp. Non-voting Common Stock 8200 8200 D Option (right to buy) 30.11 2006-11-01 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 8000 8000 D Option (right to buy) 48.39 2007-11-01 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 6700 6700 D Option (right to buy) 21.99 2008-11-03 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 5800 5800 D Phantom Stock 0 2010-11-03 2010-11-03 Eaton Vance Corp. Non-voting Common Stock 2321 2321 D Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. The shares of Phantom Stock become payable in cash at the earlier of the second anniversary of the grant date or the date of the non-employee director's termination. These options vest over a 4 year period at 25% per year. Katie McManus, Attorney- in- fact 2009-11-02 -----END PRIVACY-ENHANCED MESSAGE-----