0001225208-14-025095.txt : 20141215 0001225208-14-025095.hdr.sgml : 20141215 20141215160450 ACCESSION NUMBER: 0001225208-14-025095 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141031 FILED AS OF DATE: 20141215 DATE AS OF CHANGE: 20141215 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: FAUST THOMAS E JR CENTRAL INDEX KEY: 0001225367 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 141286458 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 5 1 doc5.xml X0306 5 2014-10-31 0 0 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 2531288.0000 D Voting Trust Receipt 74277.0000 D Eaton Vance Corp. Non-voting Common Stock 6200.0000 I by Child/Children Eaton Vance Corp. Non-voting Common Stock 6200.0000 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) 24.2741 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 227040.0000 227040.0000 D Option (right to buy) 29.3885 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 215975.0000 215975.0000 D Option (right to buy) 47.2305 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 286259.0000 286259.0000 D Option (right to buy) 28.6858 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 237921.0000 237921.0000 D Option (right to buy) 24.4595 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 310602.0000 310602.0000 D Option (right to buy) 28.2270 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 258412.0000 258412.0000 D Option (right to buy) 41.9000 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 221260.0000 221260.0000 D Option (right to buy) 27.4950 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 209971.0000 209971.0000 D Option (right to buy) 21.4631 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 243945.0000 243945.0000 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, Jeffrey P. Beale, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Maureen Gemma, Frederick S. Marius, Laurie G. Hylton, Cynthia Clemson, Thomas M. Metzold, Scott H. Page, Michael Weilheimer, Walter Row, David Stein, Daniel C. Cataldo, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. 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%, and 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 1, 2013 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 2014-12-12