0001225208-12-022496.txt : 20121106 0001225208-12-022496.hdr.sgml : 20121106 20121106153351 ACCESSION NUMBER: 0001225208-12-022496 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121101 FILED AS OF DATE: 20121106 DATE AS OF CHANGE: 20121106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marius Frederick S CENTRAL INDEX KEY: 0001417861 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 121183085 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 0001417861 Marius Frederick S TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Chief Legal Officer Eaton Vance Corp. Non-voting Common Stock 2011-11-01 5 A 0 527.0000 23.6610 A 36194.0000 D Eaton Vance Corp. Non-voting Common Stock 2012-05-01 5 A 0 553.0000 22.5540 A 35384.0000 D Eaton Vance Corp. Non-voting Common Stock 2012-11-01 4 A 0 8040.0000 0.0000 A 43424.0000 D Eaton Vance Corp. Non-voting Common Stock 2012-11-02 4 S 0 811.0000 29.1743 D 42613.0000 D Eaton Vance Corp. Non-voting Common Stock 2012-11-05 4 S 0 1217.0000 28.9424 D 41396.0000 D Voting Trust Receipt 18623.0000 D Eaton Vance Corp. Common Stock (Voting) 18623.0000 I By Voting Trust Option (right to buy) 28.9200 2012-11-01 4 A 0 28200.0000 0.0000 A 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 28200.0000 28200.0000 D Option (right to buy) 18.9850 2014-04-14 Eaton Vance Corp. Non-voting Common Stock 8000.0000 8000.0000 D Option (right to buy) 21.9550 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 8200.0000 8200.0000 D Option (right to buy) 24.8700 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 7800.0000 7800.0000 D Option (right to buy) 30.1100 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 7500.0000 7500.0000 D Option (right to buy) 48.3900 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 8700.0000 8700.0000 D Option (right to buy) 29.3900 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 18520.0000 18520.0000 D Option (right to buy) 25.0600 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 23220.0000 23220.0000 D Option (right to buy) 28.9200 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 28200.0000 28200.0000 D Option (right to buy) 28.1700 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 20500.0000 20500.0000 D Option (right to buy) 21.9900 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 23800.0000 23800.0000 D These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. 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. Grant amended to reflect correct conversion price of $28.92. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. Granted on April 14, 2004 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 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 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, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Victoria Crane, Attorney-in-fact 2012-11-06