0001225208-21-004554.txt : 20210303 0001225208-21-004554.hdr.sgml : 20210303 20210303172851 ACCESSION NUMBER: 0001225208-21-004554 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: Spillane Richard A Jr. CENTRAL INDEX KEY: 0001462656 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 21710674 MAIL ADDRESS: STREET 1: EATON VANCE CORP. STREET 2: TWO INTERNATIONAL PLACE CITY: BOSTON STATE: MA ZIP: 02110 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 0001462656 Spillane Richard A Jr. TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Eaton Vance Corp. Non-voting Common Stock 2021-03-01 4 D 0 9324.0000 0 D 0.0000 D Deferred Stock 0.0000 2021-03-01 4 D 0 9372.0000 73.0000 D Eaton Vance Corp. Non-voting Common Stock 9372.0000 0.0000 D Option (right to buy) 24.4595 2021-03-01 4 D 0 6420.0000 48.5405 D 2011-11-01 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 6420.0000 0.0000 D Option (right to buy) 28.2270 2021-03-01 4 D 0 5680.0000 44.7730 D 2012-11-01 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 5680.0000 0.0000 D Option (right to buy) 41.9000 2021-03-01 4 D 0 4045.0000 31.1000 D 2013-11-01 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 4045.0000 0.0000 D Option (right to buy) 34.8400 2021-03-01 4 D 0 11777.0000 38.1600 D 2016-11-01 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 11777.0000 0.0000 D Option (right to buy) 36.7600 2021-03-01 4 D 0 7451.0000 36.2400 D 2015-11-02 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 7451.0000 0.0000 D Option (right to buy) 36.7100 2021-03-01 4 D 0 5737.0000 36.2900 D 2014-11-03 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 5737.0000 0.0000 D Phantom Stock 0.0000 2021-03-01 4 D 0 3252.0000 73.0000 D Eaton Vance Corp. Non-voting Common Stock 3252.0000 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 $209,368.66 and 6,143 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger. Each Deferred Stock Unit is the economic equivalent of one share of non-voting common stock. This Deferred Stock Unit award was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $684,156.00. 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 $311,629.56. 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 $254,310.13. 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 $125,799.50. 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 $449,410.32. 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 $270,024.24. This option award, which was granted on November 3, 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 $208,195.73. Each Phantom Stock Unit is the economic equivalent of one share of non-voting common stock. This Phantom Stock Unit award, which was granted on November 1, 2017, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $237,396.00. Mark J. Bumann, Attorney-in-fact 2021-03-03