-----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, UN/e8ceywbks3s9tIXKCnc3Vmfyso6WBzQ+qUt4+StGMrhIA1jjpEjHgICeUqXbQ wb8tSJ2P9b+hJIGg2iqCAg== 0001225208-09-024423.txt : 20091214 0001225208-09-024423.hdr.sgml : 20091214 20091214152534 ACCESSION NUMBER: 0001225208-09-024423 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091031 FILED AS OF DATE: 20091214 DATE AS OF CHANGE: 20091214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WINTHROP H JR CENTRAL INDEX KEY: 0001287807 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 091238715 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 doc5.xml X0303 5 2009-10-31 0 0 0000350797 EATON VANCE CORP EV 0001287807 SMITH WINTHROP H JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 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 These options vest over a 4 year period at 25% per year. 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. Katie McManus, Attorney- in- fact 2009-12-14 -----END PRIVACY-ENHANCED MESSAGE-----