0001225208-19-013799.txt : 20191025 0001225208-19-013799.hdr.sgml : 20191025 20191025113910 ACCESSION NUMBER: 0001225208-19-013799 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191024 FILED AS OF DATE: 20191025 DATE AS OF CHANGE: 20191025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAUST THOMAS E JR CENTRAL INDEX KEY: 0001225367 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 191168634 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 2019-10-24 0000350797 EATON VANCE CORP EV 0001225367 FAUST THOMAS E JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 1 CEO Eaton Vance Corp. Non-voting Common Stock 2019-10-24 4 M 0 70000.0000 27.4950 A 3019838.0000 D Eaton Vance Corp. Non-voting Common Stock 2019-10-24 4 S 0 54994.0000 45.0399 D 2964844.0000 D Voting Trust Receipt 74277.0000 D Eaton Vance Corp. Non-voting Common Stock 6200.0000 I by Child/Children Eaton Vance Corp. Non-voting Common Stock 6200.0000 I By Custodian For Children Eaton Vance Corp. Common Stock (Voting) 74277.0000 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 223080.0000 I Stock Option Income Deferral Option (right to buy) 27.4950 2019-10-24 4 M 0 70000.0000 0.0000 D 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 70000.0000 69971.0000 D Option (right to buy) 24.4595 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 310602.0000 310602.0000 D Option (right to buy) 28.2270 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 258412.0000 258412.0000 D Option (right to buy) 28.6858 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 237921.0000 237921.0000 D Option (right to buy) 34.8400 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 446700.0000 446700.0000 D Option (right to buy) 36.7100 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 342640.0000 342640.0000 D Option (right to buy) 36.7600 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 358340.0000 358340.0000 D Option (right to buy) 41.9000 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 221260.0000 221260.0000 D Option (right to buy) 45.5000 2028-11-01 Eaton Vance Corp. Non-voting Common Stock 314940.0000 314940.0000 D Option (right to buy) 50.6700 2027-11-01 Eaton Vance Corp. Non-voting Common Stock 233440.0000 233440.0000 D Shares were sold to cover the exercise cost and tax liability associated with the exercise of a NQ stock option. 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. 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, 2011 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%. Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. 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 2019-10-25