0001225208-21-004548.txt : 20210303
0001225208-21-004548.hdr.sgml : 20210303
20210303172653
ACCESSION NUMBER: 0001225208-21-004548
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210301
FILED AS OF DATE: 20210303
DATE AS OF CHANGE: 20210303
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: 21710636
MAIL ADDRESS:
STREET 1: 255 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Mirror Merger Sub 2, LLC
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
FORMER COMPANY:
FORMER CONFORMED NAME: EATON VANCE CORP
DATE OF NAME CHANGE: 19920703
4
1
doc4.xml
X0306
4
2021-03-01
1
0000350797
Mirror Merger Sub 2, LLC
EV
0001225367
FAUST THOMAS E JR
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON
MA
02110
1
1
CEO
Eaton Vance Corp. Non-voting Common Stock
2021-03-01
4
D
0
3194487.0000
0
D
0.0000
D
Voting Trust Receipt
2021-03-01
4
D
0
74277.0000
0
D
0.0000
D
Eaton Vance Corp. Non-voting Common Stock
2021-03-01
4
D
0
6200.0000
0
D
0.0000
I
by Child/Children
Eaton Vance Corp. Common Stock (Voting)
2021-03-01
4
D
0
74277.0000
0
D
0.0000
I
By Voting Trust
Option (right to buy)
24.4595
2021-03-01
4
D
0
310602.0000
48.5405
D
2021-11-01
Eaton Vance Corp. Non-voting Common Stock
310602.0000
0.0000
D
Option (right to buy)
28.2270
2021-03-01
4
D
0
258412.0000
44.7730
D
2022-11-01
Eaton Vance Corp. Non-voting Common Stock
258412.0000
0.0000
D
Option (right to buy)
41.9000
2021-03-01
4
D
0
221260.0000
31.1000
D
2023-11-01
Eaton Vance Corp. Non-voting Common Stock
221260.0000
0.0000
D
Option (right to buy)
34.8400
2021-03-01
4
D
0
446700.0000
38.1600
D
2026-11-01
Eaton Vance Corp. Non-voting Common Stock
446700.0000
0.0000
D
Option (right to buy)
50.6700
2021-03-01
4
D
0
233440.0000
22.3300
D
2027-11-01
Eaton Vance Corp. Non-voting Common Stock
233440.0000
0.0000
D
Option (right to buy)
45.5000
2021-03-01
4
D
0
314940.0000
27.5000
D
2028-11-01
Eaton Vance Corp. Non-voting Common Stock
314940.0000
0.0000
D
Option (right to buy)
46.1500
2021-03-01
4
D
0
331065.0000
26.8500
D
2029-11-01
Eaton Vance Corp. Non-voting Common Stock
331065.0000
0.0000
D
Option (right to buy)
36.7600
2021-03-01
4
D
0
358340.0000
36.2400
D
2025-11-02
Eaton Vance Corp. Non-voting Common Stock
358340.0000
0.0000
D
Option (right to buy)
36.7100
2021-03-01
4
D
0
342640.0000
36.2900
D
2024-11-03
Eaton Vance Corp. Non-voting Common Stock
342640.0000
0.0000
D
Restricted Stock Unit
0.0000
2021-03-01
4
D
0
102762.9900
D
Eaton Vance Corp. Non-voting Common Stock
102762.9900
0.0000
D
Restricted Stock Unit
0.0000
2021-03-01
4
D
0
28454.0000
D
2024-02-25
Eaton Vance Corp. Non-voting Common Stock
28454.0000
0.0000
D
Disposed of pursuant to the Agreement and Plan of Merger, dated as of October 7, 2020 (the Merger Agreement), by and among Issuer, Morgan Stanley, Mirror Merger Sub 1, Inc. and Mirror Merger Sub 2, LLC, in exchange for $155,905,381.36 and 1,007,474 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
Disposed of pursuant to the Merger Agreement in exchange for $1,668,219.34 and 48,932 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
Disposed of pursuant to the Merger Agreement in exchange for $263,181.63 and 2,469 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger.
This option award, which was granted on November 1, 2011 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $15,076,754.64.
This option award, which was granted on November 1, 2012 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $11,569,857.22.
This option award, which was granted on November 1, 2013 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $6,881,186.00.
This option award, which was granted on November 1, 2016 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $17,046,072.00.
This option award, which was granted on November 1, 2017 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $5,212,715.20.
This option award, which was granted on November 1, 2018 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $8,660,850.00.
This option award, which was granted on November 1, 2019 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $8,889,095.25.
This option award, which was granted on November 2, 2015 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $12,986,241.60.
This option award, which was granted on November 1, 2014 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $12,434,405.60.
Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock.
This Restricted Stock Unit award, which was granted on November 2, 2020 and provided for 50% of vesting on 11/02/2022 and 50% of vesting on 11/02/2023, was assumed by Morgan Stanley and converted into Restricted Stock Units relating to Morgan Stanley Common Stock.
This Restricted Stock Unit award, which was granted on February 25, 2021 and provided for 50% of vesting on 02/25/2023 and 50% of vesting on 02/25/2024, was assumed by Morgan Stanley and converted into Restricted Stock Units relating to Morgan Stanley Common Stock.
Mark J. Bumann, Attorney-in-fact
2021-03-03