0001225208-17-016888.txt : 20171103 0001225208-17-016888.hdr.sgml : 20171103 20171103140606 ACCESSION NUMBER: 0001225208-17-016888 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171101 FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWAFFIELD PAYSON F CENTRAL INDEX KEY: 0001225381 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 171175837 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 2017-11-01 0000350797 EATON VANCE CORP EV 0001225381 SWAFFIELD PAYSON F TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Chief Income Officer Eaton Vance Corp. Non-voting Common Stock 2017-11-01 4 A 0 39920.0000 0.0000 A 699443.0000 D Eaton Vance Corp. Non-voting Common Stock 2017-11-01 4 F 0 1879.0000 50.6700 D 697564.0000 D Eaton Vance Corp. Non-voting Common Stock 2017-11-01 4 F 0 4588.0000 50.6700 D 692976.0000 D Voting Trust Receipt 18623.0000 D Eaton Vance Corp. Common Stock (Voting) 18623.0000 I By Voting Trust Option (right to buy) 50.6700 2017-11-01 4 A 0 130720.0000 0.0000 A 2027-11-01 Eaton Vance Corp. Non-voting Common Stock 130720.0000 130720.0000 D Option (right to buy) 21.4631 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 73154.0000 73154.0000 D Option (right to buy) 24.4595 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 142741.0000 142741.0000 D Option (right to buy) 27.4950 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 62253.0000 62253.0000 D Option (right to buy) 28.2270 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 144954.0000 144954.0000 D Option (right to buy) 28.6858 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 85776.0000 85776.0000 D Option (right to buy) 34.8400 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 212180.0000 212180.0000 D Option (right to buy) 36.7100 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 187600.0000 187600.0000 D Option (right to buy) 36.7600 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 177120.0000 177120.0000 D Option (right to buy) 41.9000 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 126020.0000 126020.0000 D Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan. Shares were withheld to cover tax liability associated with Restricted Stock Award vesting. 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, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. Granted on November 1, 2017 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%. 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 2, 2009, 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%. 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, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. Granted on November 2, 2015 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%. Mark J. Bumann, Attorney-in-fact 2017-11-03