0001225208-11-024293.txt : 20111103 0001225208-11-024293.hdr.sgml : 20111103 20111103163941 ACCESSION NUMBER: 0001225208-11-024293 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111101 FILED AS OF DATE: 20111103 DATE AS OF CHANGE: 20111103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAUST THOMAS E JR CENTRAL INDEX KEY: 0001225367 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 111178208 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: TWO INTERNATIONAL PLACE CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: TWO INTERNATIONAL PLACE CITY: BOSTON STATE: MA ZIP: 02110 4 1 doc4.xml X0304 4 2011-11-01 0000350797 EATON VANCE CORP EV 0001225367 FAUST THOMAS E JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 1 CEO Eaton Vance Corp. Non-voting Common Stock 2011-11-01 4 A 0 82580.0000 0.0000 A 2156983.0000 D Eaton Vance Corp. Non-voting Common Stock 2011-11-02 4 S 0 3447.0000 25.7309 D 2153536.0000 D Eaton Vance Corp. Non-voting Common Stock 2011-11-03 4 S 0 4778.0000 25.9457 D 2148758.0000 D Voting Trust Receipt 74277.0000 D Eaton Vance Corp. Non-voting Common Stock 12400.0000 I By Custodian For Children Eaton Vance Corp. Common Stock (Voting) 74277.0000 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 223080.0000 I Stock Option Income Deferral Option (right to buy) 25.0600 2011-11-01 4 A 0 303160.0000 0.0000 A 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 303160.0000 303160.0000 D Option (right to buy) 14.5500 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 307128.0000 307128.0000 D Option (right to buy) 21.9550 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 273200.0000 273200.0000 D Option (right to buy) 24.8700 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 221600.0000 221600.0000 D Option (right to buy) 30.1100 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 210800.0000 210800.0000 D Option (right to buy) 48.3900 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 279400.0000 279400.0000 D Option (right to buy) 29.3900 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 232220.0000 232220.0000 D Option (right to buy) 28.1700 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 204940.0000 204940.0000 D Option (right to buy) 17.5100 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 316890.0000 316890.0000 D Option (right to buy) 21.9900 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 238100.0000 238100.0000 D Restricted Stock Award granted under the 2008 Omnibus Incentive Plan These shares were sold to cover the tax liability associated with a restricted stock vesting event. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%. 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%. These options were granted on November 1, 2010 and 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%. Victoria Crane, Attorney-in-fact 2011-11-03