0001225208-17-016965.txt : 20171106 0001225208-17-016965.hdr.sgml : 20171106 20171106105651 ACCESSION NUMBER: 0001225208-17-016965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171102 FILED AS OF DATE: 20171106 DATE AS OF CHANGE: 20171106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WINTHROP H JR CENTRAL INDEX KEY: 0001287807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 171178674 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 2017-11-02 0000350797 EATON VANCE CORP EV 0001287807 SMITH WINTHROP H JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Eaton Vance Corp. Non-voting Common Stock 2017-11-02 4 M 0 1587.0000 0.0000 A 10587.0000 D Eaton Vance Corp. Non-voting Common Stock 2017-11-02 4 D 0 1587.0000 51.0400 D 9000.0000 D Phantom Stock 0.0000 2017-11-02 4 A 0 10.0000 0.0000 A 2017-11-02 2017-11-02 Eaton Vance Corp. Non-voting Common Stock 10.0000 1587.0000 D Phantom Stock 0.0000 2017-11-02 4 M 0 1587.0000 0.0000 D 2017-11-02 2017-11-02 Eaton Vance Corp. Non-voting Common Stock 1587.0000 0.0000 D Option (right to buy) 34.8400 2016-11-01 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 11777.0000 11777.0000 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 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) 41.9000 2013-11-01 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 4045.0000 4045.0000 D Option (right to buy) 50.6700 2017-11-01 2027-11-01 Eaton Vance Corp. Non-voting Common Stock 6808.0000 6808.0000 D Phantom Stock 0.0000 Eaton Vance Corp. Non-voting Common Stock 1381.0000 1381.0000 D Phantom Stock 0.0000 2018-11-01 2018-11-01 Eaton Vance Corp. Non-voting Common Stock 2048.0000 2048.0000 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. 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. Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination. Diane M. Tracey, Attorney-in-fact 2017-11-03