FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
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Form 4 Transactions Reported. |
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. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 10/31/2018 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/14/2007 | P4(1) | 3.1104 | A | $48.2253 | 3.1104(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/12/2008 | P4 | 9.4902 | A | $34.8222 | 12.6006(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/13/2008 | P4 | 8.3043 | A | $39.966 | 20.9049(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/12/2008 | P4 | 8.7073 | A | $38.2599 | 29.6122(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/11/2008 | P4 | 17.8851 | A | $19.3228 | 47.4973(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/10/2009 | P4 | 16.387 | A | $21.2583 | 7,066.8843(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/18/2009 | P4 | 12.6587 | A | $27.7201 | 27,391.543(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/17/2009 | P4 | 12.1019 | A | $29.1574 | 26,884.6449(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/16/2009 | P4 | 12.0574 | A | $30.3697 | 43,657.7023(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/16/2010 | P4 | 12.4908 | A | $29.4705 | 46,777.1931(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/11/2010 | P4 | 11.0029 | A | $33.6375 | 47,280.196(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/16/2010 | P4 | 12.8992 | A | $28.8289 | 47,293.0952(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/11/2010 | P4 | 13.6635 | A | $30.7886 | 61,072.7587(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/14/2011 | P4 | 0.0042 | A | $33.3333 | 62,809.7629(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/10/2011 | P4 | 0.0042 | A | $33.3333 | 63,281.7671(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/15/2011 | P4 | 0.006 | A | $23.3333 | 62,623.7731(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/16/2011 | P4 | 0.0063 | A | $23.8095 | 90,115.7794(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/13/2012 | P4 | 0.0054 | A | $27.7778 | 95,842.7848(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/16/2012 | P4 | 0.006 | A | $25 | 96,395.7908(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/13/2012 | P4 | 0.0055 | A | $27.2727 | 95,606.7963(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/15/2012 | P4 | 0.0056 | A | $28.5714 | 133,012.8019(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 12/21/2012 | P4 | 0.005 | A | $32 | 133,012.8069(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/16/2013 | P4 | 0.0037 | A | $43.2432 | 133,491.8106(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/12/2013 | P4 | 0.004 | A | $40 | 133,491.8146(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/14/2013 | P4 | 287.399 | A | $42.492 | 159,239.2136(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/13/2014 | P4 | 411.0556 | A | $37.2061 | 158,650.2692(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 05/14/2014 | P4 | 418.5271 | A | $36.758 | 159,068.7963(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 08/13/2014 | P4 | 425.8748 | A | $36.34 | 159,494.6711(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 11/13/2014 | P4 | 423.8167 | A | $41.7472 | 178,181.4878(2) | D | ||||||||
Eaton Vance Corp. Non-voting Common Stock | 02/11/2015 | P4 | 540.2449 | A | $41.7984 | 178,721.7327(2) | 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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Option (right to buy) | $24.4595 | (3) | 11/01/2021 | Eaton Vance Corp. Non-voting Common Stock | 4,088 | 4,088 | D | |||||||
Option (right to buy) | $28.227 | (4) | 11/01/2022 | Eaton Vance Corp. Non-voting Common Stock | 33,411 | 33,411 | D | |||||||
Option (right to buy) | $28.6858 | (5) | 11/01/2020 | Eaton Vance Corp. Non-voting Common Stock | 30,673 | 30,673 | D | |||||||
Option (right to buy) | $34.84 | (6) | 11/01/2026 | Eaton Vance Corp. Non-voting Common Stock | 127,340 | 127,340 | D | |||||||
Option (right to buy) | $36.71 | (7) | 11/03/2024 | Eaton Vance Corp. Non-voting Common Stock | 108,580 | 108,580 | D | |||||||
Option (right to buy) | $36.76 | (8) | 11/02/2025 | Eaton Vance Corp. Non-voting Common Stock | 105,220 | 105,220 | D | |||||||
Option (right to buy) | $41.9 | (9) | 11/01/2023 | Eaton Vance Corp. Non-voting Common Stock | 91,760 | 91,760 | D | |||||||
Option (right to buy) | $50.67 | (10) | 11/01/2027 | Eaton Vance Corp. Non-voting Common Stock | 79,660 | 79,660 | D |
Explanation of Responses: |
1. All transactions reported in this Form 5 using Transaction Code P4 represent previously unreported acquisitions under broker-sponsored dividend reinvestment programs. |
2. As of October 31, 2018 (the most recent fiscal year end), the total number of shares directly owned was 194,531.8408, after giving effect to all of the transactions reported on this Form 5. The amounts otherwise appearing in column 5 are automatically generated by the software used to prepare this report and do not reflect all direct holdings as of the date of the transaction being reported. |
3. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%. |
4. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
5. Granted on November 1, 2010, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
6. Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
7. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
8. Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
9. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
10. Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%. |
Mark J. Bumann, Attorney-in-fact | 12/20/2018 | |
** 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. |