FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EATON VANCE CORP [ EV ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/15/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Eaton Vance Corp. Non-voting Common Stock | 5,756 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock(1) | $0.0000 | 08/15/2016 | A | 11(2) | 11/02/2017 | 11/02/2017 | Eaton Vance Corp. Non-voting Common Stock | 11 | $0.0000 | 1,534 | D | ||||
Phantom Stock(1) | $0.0000 | 08/15/2016 | A | 11(2) | 11/03/2016 | 11/03/2016 | Eaton Vance Corp. Non-voting Common Stock | 11 | $0.0000 | 1,437 | D | ||||
Option (right to buy) | $29.3885 | 11/01/2006 | 11/01/2016 | Eaton Vance Corp. Non-voting Common Stock | 8,197 | 8,197 | D | ||||||||
Option (right to buy) | $47.2305 | 11/01/2007 | 11/01/2017 | Eaton Vance Corp. Non-voting Common Stock | 6,865 | 6,865 | D | ||||||||
Option (right to buy) | $28.6858 | 11/01/2010 | 11/01/2020 | Eaton Vance Corp. Non-voting Common Stock | 4,902 | 4,902 | D | ||||||||
Option (right to buy) | $24.4595 | 11/01/2011 | 11/01/2021 | Eaton Vance Corp. Non-voting Common Stock | 6,420 | 6,420 | D | ||||||||
Option (right to buy) | $28.227 | 11/01/2012 | 11/01/2022 | Eaton Vance Corp. Non-voting Common Stock | 5,680 | 5,680 | D | ||||||||
Option (right to buy) | $41.9 | 11/01/2013 | 11/01/2023 | Eaton Vance Corp. Non-voting Common Stock | 4,045 | 4,045 | D | ||||||||
Option (right to buy) | $27.495 | 11/02/2009 | 11/02/2019 | Eaton Vance Corp. Non-voting Common Stock | 4,883 | 4,883 | D | ||||||||
Option (right to buy) | $36.76 | 11/02/2015 | 11/02/2025 | Eaton Vance Corp. Non-voting Common Stock | 7,451 | 7,451 | D | ||||||||
Option (right to buy) | $21.4631 | 11/03/2008 | 11/03/2018 | Eaton Vance Corp. Non-voting Common Stock | 5,943 | 5,943 | D | ||||||||
Option (right to buy) | $36.71 | 11/03/2014 | 11/03/2024 | Eaton Vance Corp. Non-voting Common Stock | 5,737 | 5,737 | D |
Explanation of Responses: |
1. 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. |
2. 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. |
Kelly Riley, Attorney-in-fact | 08/15/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |