0001225208-12-022261.txt : 20121102 0001225208-12-022261.hdr.sgml : 20121102 20121102164009 ACCESSION NUMBER: 0001225208-12-022261 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121101 FILED AS OF DATE: 20121102 DATE AS OF CHANGE: 20121102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WINTHROP H JR CENTRAL INDEX KEY: 0001287807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 121177305 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 X0306 4 2012-11-01 0000350797 EATON VANCE CORP EV 0001287807 SMITH WINTHROP H JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Eaton Vance Corp. Non-voting Common Stock 6000.0000 D Option (right to buy) 0.0000 2012-11-01 4 A 0 5543.0000 28.9200 A 2012-11-01 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 5543.0000 5543.0000 D Phantom Stock 0.0000 2012-11-01 4 A 0 13.0000 0.0000 A 2012-11-01 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 13.0000 1799.0000 D Phantom Stock 0.0000 2012-11-01 4 M 0 1799.0000 0.0000 D 2012-11-01 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 1799.0000 0.0000 D Phantom Stock 0.0000 2012-11-01 4 A 0 1729.0000 0.0000 A 2014-11-01 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 1729.0000 1729.0000 D Option (right to buy) 18.9850 2014-04-14 Eaton Vance Corp. Non-voting Common Stock 12000.0000 12000.0000 D Option (right to buy) 27.5800 2015-12-16 Eaton Vance Corp. Non-voting Common Stock 8200.0000 8200.0000 D Option (right to buy) 25.3900 2014-12-17 Eaton Vance Corp. Non-voting Common Stock 12000.0000 12000.0000 D Option (right to buy) 30.1100 2006-11-01 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 8000.0000 8000.0000 D Option (right to buy) 48.3900 2007-11-01 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 6700.0000 6700.0000 D Option (right to buy) 29.3900 2010-11-01 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 4784.0000 4784.0000 D Option (right to buy) 25.0600 2011-11-01 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 6266.0000 6266.0000 D Option (right to buy) 28.1700 2009-11-02 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 4766.0000 4766.0000 D Option (right to buy) 21.9900 2008-11-03 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 5800.0000 5800.0000 D Phantom Stock 0.0000 2013-11-01 2013-11-01 Eaton Vance Corp. Non-voting Common Stock 2041.0000 2041.0000 D As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Phantom Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Phantom Stock Awarded at the time such dividends are paid to the stock holders of the Company. 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. These options vest over a 4 year period at 25% per year. Victoria Crane, Attorney-in-fact 2012-11-02