0001225208-20-015007.txt : 20201222 0001225208-20-015007.hdr.sgml : 20201222 20201222164129 ACCESSION NUMBER: 0001225208-20-015007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201218 FILED AS OF DATE: 20201222 DATE AS OF CHANGE: 20201222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cataldo Daniel C. CENTRAL INDEX KEY: 0001739700 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 201408499 MAIL ADDRESS: STREET 1: 2 INTERNATIONAL PLACE, SUITE 1400 CITY: BOSTON STATE: MA ZIP: 02110 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 2020-12-18 0000350797 EATON VANCE CORP EV 0001739700 Cataldo Daniel C. TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Chief Administrative Officer Eaton Vance Corp. Non-voting Common Stock 181776.0000 D Voting Trust Receipt 18623.0000 D Eaton Vance Corp. Common Stock (Voting) 18623.0000 I By Voting Trust Restricted Stock Unit 0.0000 2020-12-18 4 A 0 521.9900 0.0000 A Eaton Vance Corp. Non-voting Common Stock 521.9900 8540.9900 D Option (right to buy) 24.4595 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 5808.0000 5808.0000 D Option (right to buy) 28.2270 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 7071.0000 7071.0000 D Option (right to buy) 34.8400 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 4040.0000 4040.0000 D Option (right to buy) 36.7100 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 8919.0000 8919.0000 D Option (right to buy) 36.7600 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 9880.0000 9880.0000 D Option (right to buy) 41.9000 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 5540.0000 5540.0000 D Option (right to buy) 45.5000 2028-11-01 Eaton Vance Corp. Non-voting Common Stock 18101.0000 18101.0000 D Option (right to buy) 46.1500 2029-11-01 Eaton Vance Corp. Non-voting Common Stock 20909.0000 20909.0000 D Option (right to buy) 50.6700 2027-11-01 Eaton Vance Corp. Non-voting Common Stock 3060.0000 3060.0000 D 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, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami, Eric A. Stein, Andrew N. Sveen, Paul W. Bouchey, John Streur, Thomas B. Lee and Thomas C. Seto are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock As dividends are paid with respect to Company Non-Voting Common Stock, a dividend equivalent will be credited with respect to the Participants Restricted Stock Unit Award outstanding on the dividend record date and reinvested in the form of additional Restricted Stock Units. Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023 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%. 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, 2019 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 2020-12-22