0001225208-16-040755.txt : 20161026 0001225208-16-040755.hdr.sgml : 20161026 20161026123839 ACCESSION NUMBER: 0001225208-16-040755 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161024 FILED AS OF DATE: 20161026 DATE AS OF CHANGE: 20161026 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: HIGDON LEO I JR CENTRAL INDEX KEY: 0001064587 STANDARD INDUSTRIAL CLASSIFICATION: GOLD & SILVER ORES [1040] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 161952025 MAIL ADDRESS: STREET 1: 1700 LINCOLN STREET STREET 2: 28TH FLOOR CITY: DENVER STATE: CO ZIP: 80203 4 1 doc4.xml X0306 4 2016-10-24 0000350797 EATON VANCE CORP EV 0001064587 HIGDON LEO I JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Eaton Vance Corp. Non-voting Common Stock 2016-10-24 4 M 0 8197.0000 29.3885 A 13953.0000 D Eaton Vance Corp. Non-voting Common Stock 2016-10-24 4 S 0 8197.0000 37.6606 D 5756.0000 D Option (right to buy) 29.3885 2016-10-24 4 M 0 8197.0000 0.0000 D 2006-11-01 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 8197.0000 0.0000 D Option (right to buy) 47.2305 2007-11-01 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 6865.0000 6865.0000 D Option (right to buy) 28.6858 2010-11-01 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 4902.0000 4902.0000 D Option (right to buy) 24.4595 2011-11-01 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 6420.0000 6420.0000 D Option (right to buy) 28.2270 2012-11-01 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 5680.0000 5680.0000 D Option (right to buy) 41.9000 2013-11-01 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 4045.0000 4045.0000 D Option (right to buy) 27.4950 2009-11-02 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 4883.0000 4883.0000 D Option (right to buy) 36.7600 2015-11-02 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 7451.0000 7451.0000 D Option (right to buy) 21.4631 2008-11-03 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 5943.0000 5943.0000 D Option (right to buy) 36.7100 2014-11-03 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 5737.0000 5737.0000 D Phantom Stock 0.0000 2017-11-02 2017-11-02 Eaton Vance Corp. Non-voting Common Stock 1534.0000 1534.0000 D Phantom Stock 0.0000 2016-11-03 2016-11-03 Eaton Vance Corp. Non-voting Common Stock 1437.0000 1437.0000 D 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. ex24.txt Diane M. Tracey, Attorney-in-fact 2016-10-26 EX-24 2 ex24.txt LIMITED POWER OF ATTORNEY FOR EATON VANCE CORP. COMMON STOCK SECTION 16(a) FILINGS Know all by these presents, that the undersigned hereby constitutes and appoints each of Mark Bumann, Stephanie McEvoy, Paul O'Neil, Mary Pollard, Kelly Riley and Diane Tracey signing singly, and with full power of substitution, the undersigned?s true and lawful attorney-in-fact to: (1) Execute for and on behalf of and in the name of the undersigned, in the undersigned's capacity as an officer, director and/or stockholder of Eaton Vance Corp. (the "Company") Forms 3, 4, and 5 and amendments thereto regarding Common Stock of the Company in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) Do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 or amendment thereto and timely file such form with the U.S. Securities and Exchange Commission (the "SEC") and any stock exchange or similar authority; and (3) Take any other action of any type whatsoever which, in the opinion of such attorney-in-fact, may be necessary or desirable in connection with the foregoing authority, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-facts substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned further ratifies and confirms all filings of Forms 3, 4 and 5 made prior to the date hereof on behalf of the undersigned by each prior attorney-in-fact or employee of the Company who executed such forms. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 and the rules thereunder. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transaction in Common Stock of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. This Power of Attorney may be filed with the SEC as a confirming statement of the authority granted herein. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 25th day of Auguat 2016. /s/ Leo I. Higdon, Jr. Leo I. Higdon, Jr.