0001225208-13-025345.txt : 20131213 0001225208-13-025345.hdr.sgml : 20131213 20131213135310 ACCESSION NUMBER: 0001225208-13-025345 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131031 FILED AS OF DATE: 20131213 DATE AS OF CHANGE: 20131213 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 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: 131275832 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 5 1 doc5.xml X0306 5 2013-10-31 1 0 0 0000350797 EATON VANCE CORP EV 0001257596 RICHARDSON DUNCAN W TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 1 Executive Vice President Eaton Vance Corp. Non-voting Common Stock 671824.0000 D Voting Trust Receipt 44566.0000 D Eaton Vance Corp. Common Stock (Voting) 44566.0000 I By Voting Trust Option (right to buy) 21.4289 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 265973.0000 265973.0000 D Option (right to buy) 24.2741 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 215668.0000 215668.0000 D Option (right to buy) 29.3885 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 205730.0000 205730.0000 D Option (right to buy) 47.2305 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 143130.0000 143130.0000 D Option (right to buy) 28.6858 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 145814.0000 145814.0000 D Option (right to buy) 24.4595 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 142269.0000 142269.0000 D Option (right to buy) 28.2270 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 59691.0000 59691.0000 D Option (right to buy) 27.4950 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 131839.0000 131839.0000 D Option (right to buy) 21.4631 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 146408.0000 146408.0000 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 W. Richardson, Jeffrey P. Beale, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Daniel C. Cataldo, Cynthia J. Clemson, Brian D. Laagstraat, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Walter A. Row, Judith R. Saryan, David M. Stein, and Michael Weilheimer are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. 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 1, 2012 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, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Victoria Crane, Attorney-in-fact 2013-12-12