-----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, VrXDB29T/EdWm0Ykqjpe0+9/9al0OZ2w08vEOnP80eMLq+Mn42KBvxJEPmadNXhx SogO1XWOl+X64lHv7Jiu4g== 0001225208-09-021672.txt : 20091104 0001225208-09-021672.hdr.sgml : 20091104 20091104165428 ACCESSION NUMBER: 0001225208-09-021672 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091102 FILED AS OF DATE: 20091104 DATE AS OF CHANGE: 20091104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marius Frederick S CENTRAL INDEX KEY: 0001417861 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 091158351 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 0001417861 Marius Frederick S TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Chief Legal Officer Eaton Vance Corp. Non-voting Common Stock 2009-05-01 5 A 0 582 19.791 A 10222 D Eaton Vance Corp. Non-voting Common Stock 2009-11-02 5 A 0 519 24.048 A 10741 D Eaton Vance Corp. Non-voting Common Stock 2009-11-03 4 A 0 9260 0 A 20001 D Voting Trust Receipt 18623 D Eaton Vance Corp. Common Stock (Voting) 18623 I By Voting Trust Option (right to buy) 28.17 2009-11-02 4 A 0 20500 0 A 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 20500 20500 D Option (right to buy) 18.985 2014-04-14 Eaton Vance Corp. Non-voting Common Stock 8000 8000 D Option (right to buy) 21.955 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 8200 8200 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 7800 7800 D Option (right to buy) 30.11 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 7500 7500 D Option (right to buy) 48.39 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 8700 8700 D Option (right to buy) 21.99 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 23800 23800 D These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. Restricted Stock Award granted under the 2008 Omnibus Incentive 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 November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%. Granted on April 14, 2004 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%. 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%. 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 2009-11-04 -----END PRIVACY-ENHANCED MESSAGE-----