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) 10/05/2019 | ||||||||||||||||||||||||||
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 | 10/05/2019 | A | 40,816(1) | A | $0.0000 | 202,192 | D | |||
Eaton Vance Corp. Non-voting Common Stock | 10/05/2019 | A | 36,918(1) | A | $0.0000 | 239,110 | D | |||
Eaton Vance Corp. Non-voting Common Stock | 10/05/2019 | A | 31,682(1) | A | $0.0000 | 270,792 | D | |||
Voting Trust Receipt | 27,854 | D | ||||||||
Eaton Vance Corp. Common Stock (Voting) | 27,854(2) | I | By Voting Trust |
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 | ||||||||
Option (right to buy) | $24.4596 | (3) | 11/01/2021 | Eaton Vance Corp. Non-voting Common Stock | 20,799 | 20,799 | D | ||||||||
Option (right to buy) | $27.4951 | (4) | 11/02/2019 | Eaton Vance Corp. Non-voting Common Stock | 4,398 | 4,398 | D | ||||||||
Option (right to buy) | $28.2271 | (5) | 11/01/2022 | Eaton Vance Corp. Non-voting Common Stock | 16,475 | 16,475 | D | ||||||||
Option (right to buy) | $28.6858 | (6) | 11/01/2020 | Eaton Vance Corp. Non-voting Common Stock | 17,643 | 17,643 | D | ||||||||
Option (right to buy) | $34.84 | (7) | 11/01/2026 | Eaton Vance Corp. Non-voting Common Stock | 190,960 | 190,960 | D | ||||||||
Option (right to buy) | $36.71 | (8) | 11/03/2024 | Eaton Vance Corp. Non-voting Common Stock | 54,500 | 54,500 | D | ||||||||
Option (right to buy) | $36.76 | (9) | 11/02/2025 | Eaton Vance Corp. Non-voting Common Stock | 149,020 | 149,020 | D | ||||||||
Option (right to buy) | $41.9 | (10) | 11/01/2023 | Eaton Vance Corp. Non-voting Common Stock | 16,620 | 16,620 | D | ||||||||
Option (right to buy) | $45.5 | (11) | 11/01/2028 | Eaton Vance Corp. Non-voting Common Stock | 171,759 | 171,759 | D | ||||||||
Option (right to buy) | $50.67 | (12) | 11/01/2027 | Eaton Vance Corp. Non-voting Common Stock | 131,320 | 131,320 | D |
Explanation of Responses: |
1. Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan in exchange for Deferred Stock Awards related to Parametric Phantom Incentive Units tendered and accepted for exchange in an exchange offer by Eaton Vance Corp. |
2. 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, 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. |
3. Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
4. Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%. |
5. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
6. Granted on November 1, 2010, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
7. Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
8. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
9. Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
10. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
11. Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
12. 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 | 10/08/2019 | |
** 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. |