0001225208-12-020161.txt : 20120927
0001225208-12-020161.hdr.sgml : 20120927
20120927110757
ACCESSION NUMBER: 0001225208-12-020161
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120926
FILED AS OF DATE: 20120927
DATE AS OF CHANGE: 20120927
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SWAFFIELD PAYSON F
CENTRAL INDEX KEY: 0001225381
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08100
FILM NUMBER: 121112251
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
2012-09-26
0000350797
EATON VANCE CORP
EV
0001225381
SWAFFIELD PAYSON F
255 STATE STREET
BOSTON
MA
02109
1
Chief Income Officer
Eaton Vance Corp. Non-voting Common Stock
2012-09-26
4
M
0
134328.0000
14.5500
A
532436.0000
D
Eaton Vance Corp. Non-voting Common Stock
2012-09-26
4
S
0
95975.0000
28.6293
D
436461.0000
D
Voting Trust Receipt
18623.0000
D
Eaton Vance Corp. Common Stock (Voting)
18623.0000
I
By Voting Trust
Option (right to buy)
14.5500
2012-09-26
4
M
0
134328.0000
0.0000
D
2012-11-01
Eaton Vance Corp. Non-voting Common Stock
134328.0000
0.0000
D
Option (right to buy)
21.9550
2014-11-01
Eaton Vance Corp. Non-voting Common Stock
132046.0000
132046.0000
D
Option (right to buy)
24.8700
2015-11-01
Eaton Vance Corp. Non-voting Common Stock
109580.0000
109580.0000
D
Option (right to buy)
30.1100
2016-11-01
Eaton Vance Corp. Non-voting Common Stock
105400.0000
105400.0000
D
Option (right to buy)
48.3900
2017-11-01
Eaton Vance Corp. Non-voting Common Stock
73300.0000
73300.0000
D
Option (right to buy)
29.3900
2020-11-01
Eaton Vance Corp. Non-voting Common Stock
83720.0000
83720.0000
D
Option (right to buy)
25.0600
2021-11-01
Eaton Vance Corp. Non-voting Common Stock
139320.0000
139320.0000
D
Option (right to buy)
28.1700
2019-11-02
Eaton Vance Corp. Non-voting Common Stock
60760.0000
60760.0000
D
Option (right to buy)
17.5100
2013-11-03
Eaton Vance Corp. Non-voting Common Stock
130690.0000
130690.0000
D
Option (right to buy)
21.9900
2018-11-03
Eaton Vance Corp. Non-voting Common Stock
71400.0000
71400.0000
D
Shares were sold to cover cost and tax liability for exercising 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, Duncan Richardson, Jeffrey P. Beale, David C. McCabe, Payson F. Swaffield, Robert J. Whelan, Matthew J. Witkos, Maureen Gemma, Frederick S. Marius, Cynthia Clemson, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Judith R. Saryan, Michael Weilheimer, Walter Row, Mark Venezia, David Stein, and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
Granted on November 1, 2002, these options vest over a 5 year period at 20% per year.
Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Granted on November 1, 2007 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, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
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 3, 2003, these options vest over a 5 year period at 20% per year.
Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
Victoria Crane, Attorney-in-fact
2012-09-27