-----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, NxPY2z4ThaPnnbWYYqwNO6J/SXeUPA9V8MLgB/b3pLJzqfXAG8jUF+Flt7wNdYLa 0Tf0ab8L3KLcjJzElIqkoA== 0001225208-09-024437.txt : 20091214 0001225208-09-024437.hdr.sgml : 20091214 20091214153410 ACCESSION NUMBER: 0001225208-09-024437 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: RICHARDSON DUNCAN W CENTRAL INDEX KEY: 0001257596 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 091238778 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 0001257596 RICHARDSON DUNCAN W TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Executive Vice President Eaton Vance Corp. Non-voting Common Stock 487271 D Voting Trust Receipt 44566 D Eaton Vance Corp. Common Stock (Voting) 44566 I By Voting Trust Option (right to buy) 12.2657 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 200000 200000 D Option (right to buy) 14.335 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 250000 250000 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 282600 282600 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 273000 273000 D Option (right to buy) 21.955 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 259600 259600 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 210500 210500 D Option (right to buy) 30.11 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 200800 200800 D Option (right to buy) 48.39 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 139700 139700 D Option (right to buy) 21.99 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 142900 142900 D 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 1, 2000, these options vest over a 5 year period at 20% per year. Granted on November 1, 2001, these options vest over a 5 year period at 20% per year. Granted on November 1, 2002, these options vest over a 5 year period at 20% per year. Granted on November 3, 2003, 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 2009-12-14 -----END PRIVACY-ENHANCED MESSAGE-----