0001225208-13-022057.txt : 20131018 0001225208-13-022057.hdr.sgml : 20131018 20131018160709 ACCESSION NUMBER: 0001225208-13-022057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131016 FILED AS OF DATE: 20131018 DATE AS OF CHANGE: 20131018 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 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: 131159519 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 4 1 doc4.xml X0306 4 2013-10-16 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 2013-10-16 4 M 0 133899.0000 17.0904 A 606840.0000 D Eaton Vance Corp. Non-voting Common Stock 2013-10-16 4 S 0 82500.0000 39.0589 D 524340.0000 D Eaton Vance Corp. Non-voting Common Stock 2013-10-17 4 S 0 11325.0000 38.8060 D 513015.0000 D Voting Trust Receipt 18623.0000 D Eaton Vance Corp. Common Stock (Voting) 18623.0000 I By Voting Trust Option (right to buy) 21.4289 2012-12-14 5 A 0 135288.0000 0.0000 A 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 135288.0000 135288.0000 D Option (right to buy) 24.2741 2012-12-14 5 A 0 112270.0000 0.0000 A 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 112270.0000 112270.0000 D Option (right to buy) 29.3885 2012-12-14 5 A 0 107988.0000 0.0000 A 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 107988.0000 107988.0000 D Option (right to buy) 47.2305 2012-12-14 5 A 0 75100.0000 0.0000 A 2017-11-01 Eaton Vance Corp. Non-voting Common Stock 75100.0000 75100.0000 D Option (right to buy) 28.6858 2012-12-14 5 A 0 85776.0000 0.0000 A 2020-11-01 Eaton Vance Corp. Non-voting Common Stock 85776.0000 85776.0000 D Option (right to buy) 24.4595 2012-12-14 5 A 0 142741.0000 0.0000 A 2021-11-01 Eaton Vance Corp. Non-voting Common Stock 142741.0000 142741.0000 D Option (right to buy) 28.2270 2012-12-14 5 A 0 144954.0000 0.0000 A 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 144954.0000 144954.0000 D Option (right to buy) 27.4950 2012-12-14 5 A 0 62253.0000 0.0000 A 2019-11-02 Eaton Vance Corp. Non-voting Common Stock 62253.0000 62253.0000 D Option (right to buy) 17.0904 2012-12-14 5 A 0 133899.0000 0.0000 A 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 133899.0000 133899.0000 D Option (right to buy) 21.4631 2012-12-14 5 A 0 73154.0000 0.0000 A 2018-11-03 Eaton Vance Corp. Non-voting Common Stock 73154.0000 73154.0000 D Option (right to buy) 17.0904 2013-10-16 4 M 0 133899.0000 0.0000 D 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 133899.0000 0.0000 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, 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, 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 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 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 2013-10-18