0001225208-12-022379.txt : 20121105 0001225208-12-022379.hdr.sgml : 20121105 20121105163834 ACCESSION NUMBER: 0001225208-12-022379 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121101 FILED AS OF DATE: 20121105 DATE AS OF CHANGE: 20121105 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: 121180492 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 2012-11-01 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 2012-11-01 4 A 0 45000.0000 0.0000 A 481461.0000 D Eaton Vance Corp. Non-voting Common Stock 2012-11-02 4 S 0 3738.0000 29.1743 D 477723.0000 D Voting Trust Receipt 18623.0000 D Eaton Vance Corp. Common Stock (Voting) 18623.0000 I By Voting Trust Option (right to buy) 0.0000 2012-11-01 4 A 0 141480.0000 28.9200 A 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 141480.0000 141480.0000 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 Restricted Stock Award granted under the 2008 Omnibus Incentive Plan These shares were sold to cover the tax liability associated with a restricted stock vesting event. 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, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. 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 2012-11-05