-----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, QSbMCqd3Tpg+E8+HU3wW7550vQPgYdMOor1Ajjz6kh/MCsbCGrigmPKMcxCk9SfG MQnS80uZkTcidTlsDIQS7g== 0001225208-10-023363.txt : 20101022 0001225208-10-023363.hdr.sgml : 20101022 20101022153011 ACCESSION NUMBER: 0001225208-10-023363 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101021 FILED AS OF DATE: 20101022 DATE AS OF CHANGE: 20101022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICHARDSON DUNCAN W CENTRAL INDEX KEY: 0001257596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 101137288 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 2010-10-21 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 2010-05-03 5 A 0 492.0000 0.0000 A 541523.0000 D Eaton Vance Corp. Non-voting Common Stock 2010-10-21 4 M 0 200000.0000 12.2657 A 741523.0000 D Eaton Vance Corp. Non-voting Common Stock 2010-10-21 4 S 0 126700.0000 29.6303 D 614823.0000 D Voting Trust Receipt 44566.0000 D Eaton Vance Corp. Common Stock (Voting) 44566.0000 I By Voting Trust Option (right to buy) 12.2657 2010-10-21 4 M 0 200000.0000 0.0000 D 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 200000.0000 0.0000 D Option (right to buy) 14.3350 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 250000.0000 250000.0000 D Option (right to buy) 14.5500 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 282600.0000 282600.0000 D Option (right to buy) 21.9550 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 259600.0000 259600.0000 D Option (right to buy) 24.8700 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 210500.0000 210500.0000 D Option (right to buy) 30.1100 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 200800.0000 200800.0000 D Option (right to buy) 48.3900 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 139700.0000 139700.0000 D Option (right to buy) 28.1700 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 128680.0000 128680.0000 D Option (right to buy) 17.5100 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 273000.0000 273000.0000 D Option (right to buy) 21.9900 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 142900.0000 142900.0000 D These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. These shares were sold to cover the cost and tax liability associated with a NQ stock option exercise. 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 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 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%. Granted on November 3, 2003, these options vest over a 5 year period at 20% per year. 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 2010-10-22 -----END PRIVACY-ENHANCED MESSAGE-----