0001193125-13-076647.txt : 20130226 0001193125-13-076647.hdr.sgml : 20130226 20130226151107 ACCESSION NUMBER: 0001193125-13-076647 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130226 DATE AS OF CHANGE: 20130226 EFFECTIVENESS DATE: 20130226 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EATON VANCE GROWTH TRUST CENTRAL INDEX KEY: 0000102816 IRS NUMBER: 042325690 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-01241 FILM NUMBER: 13642311 BUSINESS ADDRESS: STREET 1: TWO INTERNATIONAL PLACE CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-482-8260 MAIL ADDRESS: STREET 1: TWO INTERNATIONAL PLACE CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: EATON VANCE GROWTH FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: VANCE SANDERS COMMON STOCK FUND INC DATE OF NAME CHANGE: 19820915 FORMER COMPANY: FORMER CONFORMED NAME: BOSTON STOCK FUND INC DATE OF NAME CHANGE: 19730619 0000102816 S000005197 Eaton Vance Atlanta Capital Focused Growth Fund C000014177 Eaton Vance Atlanta Capital Focused Growth Fund Class A EAALX C000014178 Eaton Vance Atlanta Capital Focused Growth Fund Class I EILGX C000102330 Eaton Vance Atlanta Capital Focused Growth Fund Class C 0000102816 S000005198 Eaton Vance Atlanta Capital SMID-Cap Fund C000014179 Eaton Vance Atlanta Capital SMID-Cap Fund Class A EAASX C000014180 Eaton Vance Atlanta Capital SMID-Cap Fund Class I EISMX C000080480 Eaton Vance Atlanta Capital SMID-Cap Fund Class R C000081644 Eaton Vance Atlanta Capital SMID-Cap Fund Class C 0000102816 S000035208 Eaton Vance Atlanta Capital Select Equity Fund C000108310 Eaton Vance Atlanta Capital Select Equity Fund Class A ESEAX C000108312 Eaton Vance Atlanta Capital Select Equity Fund Class I ESEIX N-Q 1 d477201dnq.htm EATON VANCE GROWTH TRUST Eaton Vance Growth Trust

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Form N-Q

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED

MANAGEMENT INVESTMENT COMPANIES

811-01241

Investment Company Act File Number

Eaton Vance Growth Trust

(Exact Name of Registrant as Specified in Charter)

Two International Place, Boston, Massachusetts 02110

(Address of Principal Executive Offices)

Maureen A. Gemma

Two International Place, Boston, Massachusetts 02110

(Name and Address of Agent for Services)

(617) 482-8260

(Registrant’s Telephone Number, Including Area Code)

September 30

Date of Fiscal Year End

December 31, 2012

Date of Reporting Period

 

 

 

Item 1. Schedule of Investments

Eaton Vance Atlanta Capital Focused Growth Fund

Eaton Vance Atlanta Capital Select Equity Fund

Eaton Vance Atlanta Capital SMID-Cap Fund

Eaton Vance

Atlanta Capital SMID-Cap Fund

December 31, 2012 (Unaudited)

Eaton Vance Atlanta Capital SMID-Cap Fund (the Fund), a diversified series of Eaton Vance Growth Trust, invests substantially all of its assets in SMID-Cap Portfolio (the Portfolio) and owns a pro rata interest in the Portfolio’s net assets. At December 31, 2012, the value of the Fund’s investment in the Portfolio was $3,445,450,620 and the Fund owned 99.8% of the Portfolio’s outstanding interests. The Portfolio’s Portfolio of Investments is set forth below.

Subsequent Event

After the close of business on January 15, 2013, the Fund was closed to new investors, with limited exceptions. Sales of Fund shares may be further restricted or re-opened in the future.

 

 

 

 

SMID-Cap Portfolio

December 31, 2012

Portfolio of Investments (Unaudited)

Common Stocks — 94.1%

 

                                                 
Security    Shares      Value  

Aerospace & Defense — 1.0%

      

TransDigm Group, Inc.

      249,847       $ 34,069,137   
     

 

 

  
      $ 34,069,137   
     

 

 

  

Auto Components — 2.0%

      

Gentex Corp.

      3,659,584       $ 68,873,371   
     

 

 

  
      $ 68,873,371   
     

 

 

  

Capital Markets — 5.1%

      

Affiliated Managers Group, Inc.(1)

      897,339       $ 116,788,671   

SEI Investments Co.

      2,575,435         60,110,653   
     

 

 

  
      $ 176,899,324   
     

 

 

  

Chemicals — 1.0%

      

Airgas, Inc.

      375,140       $ 34,246,531   
     

 

 

  
      $ 34,246,531   
     

 

 

  

Commercial Banks — 4.3%

      

City National Corp.

      1,333,290       $ 66,024,521   

Cullen/Frost Bankers, Inc.

      599,362         32,527,376   

Umpqua Holdings Corp.

      4,264,204         50,274,965   
     

 

 

  
      $ 148,826,862   
     

 

 

  

Commercial Services & Supplies — 0.9%

      

Copart, Inc.(1)

      1,108,501       $ 32,700,779   
     

 

 

  
      $ 32,700,779   
     

 

 

  

Construction & Engineering — 2.0%

      

Jacobs Engineering Group, Inc.(1)

      1,598,389       $ 68,043,420   
     

 

 

  
      $ 68,043,420   
     

 

 

  

Containers & Packaging — 2.0%

      

AptarGroup, Inc.

      1,418,102       $ 67,671,827   
     

 

 

  
      $ 67,671,827   
     

 

 

  

Distributors — 3.5%

      

LKQ Corp.(1)

      5,641,700       $ 119,039,870   
     

 

 

  
      $ 119,039,870   
     

 

 

  

Electrical Equipment — 4.2%

      

Acuity Brands, Inc.

      1,026,224       $ 69,506,152   

AMETEK, Inc.

      1,995,206         74,959,889   
     

 

 

  
      $ 144,466,041   
     

 

 

  

Electronic Equipment, Instruments & Components — 1.3%

      

FLIR Systems, Inc.

      2,054,995       $ 45,846,938   
     

 

 

  
      $ 45,846,938   
     

 

 

  

Energy Equipment & Services — 2.4%

      

Dril-Quip, Inc.(1)

      455,968       $ 33,308,462   

Oceaneering International, Inc.

      930,360         50,044,065   
     

 

 

  
      $ 83,352,527   
     

 

 

  

Health Care Equipment & Supplies — 4.4%

      

DENTSPLY International, Inc.

      2,493,561       $ 98,769,951   

Varian Medical Systems, Inc.(1)

      746,423         52,428,752   
     

 

 

  
      $ 151,198,703   
     

 

 

  

Health Care Providers & Services — 2.6%

      

Henry Schein, Inc.(1)

      1,121,486       $ 90,234,764   
     

 

 

  
      $ 90,234,764   
     

 

 

  

 

1

 

 

                                                 
Security    Shares      Value  

Household Products — 1.7%

      

Church & Dwight Co., Inc.

      1,086,203       $ 58,187,895   
     

 

 

  
      $ 58,187,895   
     

 

 

  

Industrial Conglomerates — 2.2%

      

Carlisle Cos., Inc.

      1,308,277       $ 76,874,357   
     

 

 

  
      $ 76,874,357   
     

 

 

  

Insurance — 7.1%

      

HCC Insurance Holdings, Inc.

      2,957,382       $ 110,044,184   

Markel Corp.(1)

      315,363         136,684,632   
     

 

 

  
      $ 246,728,816   
     

 

 

  

IT Services — 2.4%

      

Jack Henry & Associates, Inc.

      1,257,971       $ 49,387,941   

WEX, Inc.(1)

      455,034         34,295,913   
     

 

 

  
      $ 83,683,854   
     

 

 

  

Life Sciences Tools & Services — 3.7%

      

Bio-Rad Laboratories, Inc., Class A(1)

      798,394       $ 83,871,290   

Mettler-Toledo International, Inc.(1)

      218,547         42,245,135   
     

 

 

  
      $ 126,116,425   
     

 

 

  

Machinery — 6.7%

      

CLARCOR, Inc.

      1,475,235       $ 70,486,728   

Graco, Inc.

      983,693         50,650,353   

IDEX Corp.

      1,661,308         77,300,661   

Pall Corp.

      548,097         33,028,325   
     

 

 

  
      $ 231,466,067   
     

 

 

  

Marine — 2.6%

      

Kirby Corp.(1)

      1,430,087       $ 88,508,084   
     

 

 

  
      $ 88,508,084   
     

 

 

  

Media — 5.8%

      

John Wiley & Sons, Inc., Class A

      2,150,073       $ 83,702,342   

Morningstar, Inc.

      1,840,462         115,636,227   
     

 

 

  
      $ 199,338,569   
     

 

 

  

Professional Services — 3.8%

      

Equifax, Inc.

      1,436,092       $ 77,721,299   

Verisk Analytics, Inc., Class A(1)

      1,014,295         51,729,045   
     

 

 

  
      $ 129,450,344   
     

 

 

  

Real Estate Management & Development — 1.5%

      

Forest City Enterprises, Inc., Class A(1)

      3,178,294       $ 51,329,448   
     

 

 

  
      $ 51,329,448   
     

 

 

  

Road & Rail — 1.7%

      

J.B. Hunt Transport Services, Inc.

      997,397       $ 59,554,575   
     

 

 

  
      $ 59,554,575   
     

 

 

  

Software — 9.5%

      

ANSYS, Inc.(1)

      1,247,998       $ 84,040,185   

Blackbaud, Inc.

      2,984,655         68,139,674   

FactSet Research Systems, Inc.

      537,754         47,354,617   

Fair Isaac Corp.

      1,994,577         83,832,071   

Solera Holdings, Inc.

      853,968         45,661,669   
     

 

 

  
      $ 329,028,216   
     

 

 

  

Specialty Retail — 7.8%

      

Aaron’s, Inc.

      1,769,167       $ 50,032,043   

CarMax, Inc.(1)

      1,595,075         59,879,115   

O’Reilly Automotive, Inc.(1)

      724,461         64,781,303   

Sally Beauty Holdings, Inc.(1)

      3,948,155         93,058,013   
     

 

 

  
      $ 267,750,474   
     

 

 

  

 

2

 

 

                                                 
Security    Shares      Value  

Textiles, Apparel & Luxury Goods — 0.9%

      

Columbia Sportswear Co.

      607,309       $ 32,406,008   
     

 

 

  
      $ 32,406,008   
     

 

 

  

Total Common Stocks
(identified cost $2,725,001,030)

       $ 3,245,893,226   
     

 

 

  

Short-Term Investments — 6.0%

      
Description    Interest
(000’s omitted)		      Value  

Eaton Vance Cash Reserves Fund, LLC, 0.12%(2)

    $ 207,906       $ 207,906,287   
     

 

 

  

Total Short-Term Investments
(identified cost $207,906,287)

       $ 207,906,287   
     

 

 

  

Total Investments — 100.1%
(identified cost $2,932,907,317)

       $ 3,453,799,513   
     

 

 

  

Other Assets, Less Liabilities — (0.1)%

       $ (1,966,702 ) 
     

 

 

  

Net Assets — 100.0%

       $ 3,451,832,811   
     

 

 

  

The percentage shown for each investment category in the Portfolio of Investments is based on net assets.

 

(1) Non-income producing security.

 

(2) Affiliated investment company available to Eaton Vance portfolios and funds which invests in high quality, U.S. dollar denominated money market instruments. The rate shown is the annualized seven-day yield as of December 31, 2012. Net income allocated from the investment in Eaton Vance Cash Reserves Fund, LLC for the fiscal year to date ended December 31, 2012 was $53,298.

The Portfolio did not have any open financial instruments at December 31, 2012.

The cost and unrealized appreciation (depreciation) of investments of the Portfolio at December 31, 2012, as determined on a federal income tax basis, were as follows:

 

Aggregate cost

    $     2,937,519,057   
  

 

 

  

Gross unrealized appreciation

    $ 557,672,771   

Gross unrealized depreciation

      (41,392,315 ) 
  

 

 

  

Net unrealized appreciation

    $ 516,280,456   
  

 

 

  

Under generally accepted accounting principles for fair value measurements, a three-tier hierarchy to prioritize the assumptions, referred to as inputs, is used in valuation techniques to measure fair value. The three-tier hierarchy of inputs is summarized in the three broad levels listed below.

 

  •  

Level 1 — quoted prices in active markets for identical investments

 

  •  

Level 2 — other significant observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, etc.)

 

  •  

Level 3 — significant unobservable inputs (including a fund’s own assumptions in determining the fair value of investments)

In cases where the inputs used to measure fair value fall in different levels of the fair value hierarchy, the level disclosed is determined based on the lowest level input that is significant to the fair value measurement in its entirety. The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities.

 

3

 

 

At December 31, 2012, the hierarchy of inputs used in valuing the Portfolio’s investments, which are carried at value, were as follows:

 

Asset Description    Level 1     Level 2      Level 3      Total  

Common Stocks

    $ 3,245,893,226 *    $ —       $  —       $ 3,245,893,226   

Short-Term Investments

      —        207,906,287         —         207,906,287   

Total Investments

    $     3,245,893,226      $ 207,906,287       $ —       $ 3,453,799,513   

 

* The level classification by major category of investments is the same as the category presentation in the Portfolio of Investments.

The Portfolio held no investments or other financial instruments as of September 30, 2012 whose fair value was determined using Level 3 inputs. At December 31, 2012, there were no investments transferred between Level 1 and Level 2 during the fiscal year to date then ended.

For information on the Portfolio’s policy regarding the valuation of investments and other significant accounting policies, please refer to the Portfolio’s most recent financial statements included in its semiannual or annual report to shareholders.

 

4

 

 

Eaton Vance

Atlanta Capital Focused Growth Fund

December 31, 2012

Portfolio of Investments (Unaudited)

Common Stocks — 96.7%

 

                                                 
Security    Shares      Value  

Air Freight & Logistics — 2.9%

      

Expeditors International of Washington, Inc.

      127,901       $ 5,058,485   
     

 

 

  
      $ 5,058,485   
     

 

 

  

Biotechnology — 3.7%

      

Gilead Sciences, Inc.(1)

      89,277       $ 6,557,396   
     

 

 

  
      $ 6,557,396   
     

 

 

  

Capital Markets — 2.1%

      

T. Rowe Price Group, Inc.

      58,202       $ 3,790,696   
     

 

 

  
      $ 3,790,696   
     

 

 

  

Chemicals — 6.4%

      

Monsanto Co.

      119,459       $ 11,306,794   
     

 

 

  
      $ 11,306,794   
     

 

 

  

Communications Equipment — 9.0%

      

Juniper Networks, Inc.(1)

      178,857       $ 3,518,117   

QUALCOMM, Inc.

      200,557         12,438,545   
     

 

 

  
      $ 15,956,662   
     

 

 

  

Computers & Peripherals — 8.1%

      

Apple, Inc.

      26,811       $ 14,291,067   
     

 

 

  
      $ 14,291,067   
     

 

 

  

Energy Equipment & Services — 5.1%

      

Schlumberger, Ltd.

      131,131       $ 9,086,067   
     

 

 

  
      $ 9,086,067   
     

 

 

  

Food & Staples Retailing — 1.6%

      

Costco Wholesale Corp.

      28,987       $ 2,863,046   
     

 

 

  
      $ 2,863,046   
     

 

 

  

Health Care Technology — 0.9%

      

Cerner Corp.(1)

      20,367       $ 1,581,294   
     

 

 

  
      $ 1,581,294   
     

 

 

  

Hotels, Restaurants & Leisure — 2.3%

      

Starbucks Corp.

      76,819       $ 4,119,035   
     

 

 

  
      $ 4,119,035   
     

 

 

  

Industrial Conglomerates — 5.8%

      

Danaher Corp.

      113,227       $ 6,329,389   

General Electric Co.

      183,804         3,858,046   
     

 

 

  
      $     10,187,435   
     

 

 

  

Internet & Catalog Retail — 6.8%

      

Amazon.com, Inc.(1)

      35,045       $ 8,801,201   

priceline.com, Inc.(1)

      5,162         3,206,635   
     

 

 

  
      $ 12,007,836   
     

 

 

  

Internet Software & Services — 3.5%

      

Google, Inc., Class A(1)

      8,712       $ 6,180,031   
     

 

 

  
      $ 6,180,031   
     

 

 

  

 

1

 

 

                                                 
Security    Shares      Value  

IT Services — 5.8%

      

Cognizant Technology Solutions Corp., Class A(1)

      139,694       $ 10,344,341   
     

 

 

  
      $ 10,344,341   
     

 

 

  

Multiline Retail — 2.5%

      

Kohl’s Corp.

      102,148       $ 4,390,321   
     

 

 

  
      $ 4,390,321   
     

 

 

  

Oil, Gas & Consumable Fuels — 4.0%

      

Suncor Energy, Inc.

      217,248       $ 7,164,839   
     

 

 

  
      $ 7,164,839   
     

 

 

  

Pharmaceuticals — 4.8%

      

Allergan, Inc.

      92,145       $ 8,452,461   
     

 

 

  
      $ 8,452,461   
     

 

 

  

Road & Rail — 4.1%

      

Union Pacific Corp.

      57,467       $ 7,224,751   
     

 

 

  
      $ 7,224,751   
     

 

 

  

Semiconductors & Semiconductor Equipment — 5.3%

      

Broadcom Corp., Class A

      159,762       $ 5,305,696   

Texas Instruments, Inc.

      131,333         4,063,443   
     

 

 

  
      $ 9,369,139   
     

 

 

  

Software — 8.2%

      

Informatica Corp.(1)

      53,139       $ 1,611,174   

Intuit, Inc.

      111,787         6,651,327   

Microsoft Corp.

          232,573         6,216,676   
     

 

 

  
      $ 14,479,177   
     

 

 

  

Textiles, Apparel & Luxury Goods — 3.8%

      

Coach, Inc.

      121,544       $ 6,746,908   
     

 

 

  
      $ 6,746,908   
     

 

 

  

Total Common Stocks
(identified cost $154,375,841)

       $ 171,157,781   
     

 

 

  

Short-Term Investments — 3.3%

      
Description   

Interest

(000’s omitted)

      Value  

Eaton Vance Cash Reserves Fund, LLC, 0.12%(2)

    $ 5,782       $ 5,782,323   
     

 

 

  

Total Short-Term Investments
(identified cost $5,782,323)

       $ 5,782,323   
     

 

 

  

Total Investments — 100.0%
(identified cost $160,158,164)

       $     176,940,104   
     

 

 

  

Other Assets, Less Liabilities — (0.0)%(3)

       $ (2,543 ) 
     

 

 

  

Net Assets — 100.0%

       $ 176,937,561   
     

 

 

  

The percentage shown for each investment category in the Portfolio of Investments is based on net assets.

 

(1) Non-income producing security.

 

(2) Affiliated investment company available to Eaton Vance portfolios and funds which invests in high quality, U.S. dollar denominated money market instruments. The rate shown is the annualized seven-day yield as of December 31, 2012. Net income allocated from the investment in Eaton Vance Cash Reserves Fund, LLC for the fiscal year to date ended December 31, 2012 was $1,393.

 

(3) Amount is less than 0.05%.

 

2

 

 

The Fund did not have any open financial instruments at December 31, 2012.

The cost and unrealized appreciation (depreciation) of investments of the Fund at December 31, 2012, as determined on a federal income tax basis, were as follows:

 

Aggregate cost

    $     160,823,012   
  

 

 

  

Gross unrealized appreciation

    $ 19,300,887   

Gross unrealized depreciation

      (3,183,795 ) 
  

 

 

  

Net unrealized appreciation

    $ 16,117,092   
  

 

 

  

Under generally accepted accounting principles for fair value measurements, a three-tier hierarchy to prioritize the assumptions, referred to as inputs, is used in valuation techniques to measure fair value. The three-tier hierarchy of inputs is summarized in the three broad levels listed below.

 

•  

Level 1 — quoted prices in active markets for identical investments

 

•  

Level 2 — other significant observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, etc.)

 

•  

Level 3 — significant unobservable inputs (including a fund’s own assumptions in determining the fair value of investments)

In cases where the inputs used to measure fair value fall in different levels of the fair value hierarchy, the level disclosed is determined based on the lowest level input that is significant to the fair value measurement in its entirety. The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities.

At December 31, 2012, the hierarchy of inputs used in valuing the Fund’s investments, which are carried at value, were as follows:

 

Asset Description    Level 1     Level 2      Level 3      Total  

Common Stocks

    $     171,157,781 *    $ —       $     —       $     171,157,781   

Short-Term Investments

      —        5,782,323         —         5,782,323   

Total Investments

    $ 171,157,781      $     5,782,323       $ —       $ 176,940,104   

 

* The level classification by major category of investments is the same as the category presentation in the Portfolio of Investments.

The Fund held no investments or other financial instruments as of September 30, 2012 whose fair value was determined using Level 3 inputs. At December 31, 2012, there were no investments transferred between Level 1 and Level 2 during the fiscal year to date then ended.

For information on the Fund’s policy regarding the valuation of investments and other significant accounting policies, please refer to the Fund’s most recent financial statements included in its semiannual or annual report to shareholders.

 

3

 

 

Eaton Vance

Atlanta Capital Select Equity Fund

December 31, 2012

PORTFOLIO OF INVESTMENTS (Unaudited)

Common Stocks — 88.8%

 

                                                 
Security    Shares      Value  

Beverages — 3.4%

      

Diageo PLC ADR

      8,388       $ 977,873   
     

 

 

  
      $ 977,873   
     

 

 

  

Capital Markets — 6.8%

      

Affiliated Managers Group, Inc.(1)

      8,148       $ 1,060,462   

TD Ameritrade Holding Corp.

      51,426         864,471   
     

 

 

  
      $ 1,924,933   
     

 

 

  

Chemicals — 3.9%

      

Praxair, Inc.

      3,831       $ 419,303   

Sherwin-Williams Co. (The)

      4,481         689,267   
     

 

 

  
      $ 1,108,570   
     

 

 

  

Commercial Banks — 2.7%

      

U.S. Bancorp

      23,674       $ 756,148   
     

 

 

  
      $ 756,148   
     

 

 

  

Commercial Services & Supplies — 5.4%

      

ADT Corp. (The)

      19,375       $ 900,744   

Tyco International, Ltd.

      21,980         642,915   
     

 

 

  
      $ 1,543,659   
     

 

 

  

Communications Equipment — 2.2%

      

QUALCOMM, Inc.

      10,327       $ 640,480   
     

 

 

  
      $ 640,480   
     

 

 

  

Construction & Engineering — 2.8%

      

Jacobs Engineering Group, Inc.(1)

      18,733       $ 797,464   
     

 

 

  
      $ 797,464   
     

 

 

  

Distributors — 3.7%

      

LKQ Corp.(1)

      49,676       $ 1,048,164   
     

 

 

  
      $ 1,048,164   
     

 

 

  

Food & Staples Retailing — 4.9%

      

Wal-Mart Stores, Inc.

      20,613       $ 1,406,425   
     

 

 

  
      $ 1,406,425   
     

 

 

  

Food Products — 1.9%

      

Nestle SA ADR

      8,260       $ 538,304   
     

 

 

  
      $ 538,304   
     

 

 

  

Health Care Equipment & Supplies — 7.2%

      

Covidien PLC

      19,193       $ 1,108,204   

DENTSPLY International, Inc.

      23,805         942,916   
     

 

 

  
      $ 2,051,120   
     

 

 

  

Health Care Providers & Services — 2.8%

      

Henry Schein, Inc.(1)

      9,906       $ 797,037   
     

 

 

  
      $ 797,037   
     

 

 

  

Industrial Conglomerates — 3.5%

      

Danaher Corp.

      17,745       $ 991,945   
     

 

 

  
      $ 991,945   
     

 

 

  

 

1

 

 

                                                 
Security    Shares      Value  

Insurance — 12.5%

      

Berkshire Hathaway, Inc., Class B(1)

      13,651       $ 1,224,495   

Markel Corp.(1)

      3,542         1,535,173   

White Mountains Insurance Group, Ltd.

      1,569         808,035   
     

 

 

  
      $ 3,567,703   
     

 

 

  

Machinery — 2.9%

      

Pall Corp.

      13,530       $ 815,318   
     

 

 

  
      $ 815,318   
     

 

 

  

Real Estate Management & Development — 2.0%

      

Brookfield Asset Management, Inc., Class A

      15,611       $ 572,143   
     

 

 

  
      $ 572,143   
     

 

 

  

Software — 10.6%

      

ANSYS, Inc.(1)

      15,717       $ 1,058,383   

Microsoft Corp.

      37,804         1,010,501   

Oracle Corp.

      28,836         960,815   
     

 

 

  
      $ 3,029,699   
     

 

 

  

Specialty Retail — 9.6%

      

O’Reilly Automotive, Inc.(1)

      6,678       $ 597,147   

Ross Stores, Inc.

      9,555         517,403   

TJX Companies, Inc. (The)

      38,242         1,623,373   
     

 

 

  
      $ 2,737,923   
     

 

 

  

Total Common Stocks
(identified cost $23,953,867)

       $ 25,304,908   
     

 

 

  

Exchange-Traded Funds — 3.7%

      
Security    Shares      Value  

Health Care Select Sector SPDR Fund

      26,666       $ 1,065,307   
     

 

 

  

Total Exchange-Traded Funds
(identified cost $1,040,939)

       $ 1,065,307   
     

 

 

  

Short-Term Investments — 7.6%

      
Description    Interest
(000’s omitted)		      Value  

Eaton Vance Cash Reserves Fund, LLC, 0.12%(2)

    $ 2,153       $ 2,152,782   
     

 

 

  

Total Short-Term Investments
(identified cost $2,152,782)

       $ 2,152,782   
     

 

 

  

Total Investments — 100.1%
(identified cost $27,147,588)

       $ 28,522,997   
     

 

 

  

Other Assets, Less Liabilities — (0.1)%

       $ (17,828 ) 
     

 

 

  

Net Assets — 100.0%

       $ 28,505,169   
     

 

 

  

The percentage shown for each investment category in the Portfolio of Investments is based on net assets.

 

ADR

   -   American Depositary Receipt

 

2

 

 

(1) Non-income producing security.

 

(2) Affiliated investment company available to Eaton Vance portfolios and funds which invests in high quality, U.S. dollar denominated money market instruments. The rate shown is the annualized seven-day yield as of December 31, 2012. Net income allocated from the investment in Eaton Vance Cash Reserves Fund, LLC for the fiscal year to date ended December 31, 2012 was $586.

The Fund did not have any open financial instruments at December 31, 2012.

The cost and unrealized appreciation (depreciation) of investments of the Fund at December 31, 2012, as determined on a federal income tax basis, were as follows:

 

Aggregate cost

    $     27,147,588   
  

 

 

  

Gross unrealized appreciation

    $ 1,539,839   

Gross unrealized depreciation

      (164,430 ) 
  

 

 

  

Net unrealized appreciation

    $ 1,375,409   
  

 

 

  

Under generally accepted accounting principles for fair value measurements, a three-tier hierarchy to prioritize the assumptions, referred to as inputs, is used in valuation techniques to measure fair value. The three-tier hierarchy of inputs is summarized in the three broad levels listed below.

 

•  

Level 1 — quoted prices in active markets for identical investments

 

•  

Level 2 — other significant observable inputs (including quoted prices for similar investments, interest rates, prepayment speeds, credit risk, etc.)

 

•  

Level 3 — significant unobservable inputs (including a fund’s own assumptions in determining the fair value of investments)

In cases where the inputs used to measure fair value fall in different levels of the fair value hierarchy, the level disclosed is determined based on the lowest level input that is significant to the fair value measurement in its entirety. The inputs or methodology used for valuing securities are not necessarily an indication of the risk associated with investing in those securities.

At December 31, 2012, the hierarchy of inputs used in valuing the Fund’s investments, which are carried at value, were as follows:

 

Asset Description    Level 1     Level 2      Level 3      Total  

Common Stocks

    $ 25,304,908 *    $ —       $ —       $ 25,304,908   

Exchange-Traded Funds

      1,065,307        —         —         1,065,307   

Short-Term Investments

      —        2,152,782         —         2,152,782   

Total Investments

    $     26,370,215      $     2,152,782       $     —       $     28,522,997   

 

* The level classification by major category of investments is the same as the category presentation in the Portfolio of Investments.

The Fund held no investments or other financial instruments as of September 30, 2012 whose fair value was determined using Level 3 inputs. At December 31, 2012, there were no investments transferred between Level 1 and Level 2 during the fiscal year to date then ended.

For information on the Fund’s policy regarding the valuation of investments and other significant accounting policies, please refer to the Fund’s most recent financial statements included in its semiannual or annual report to shareholders.

 

3

 

 

Item 2. Controls and Procedures

(a) It is the conclusion of the registrant’s principal executive officer and principal financial officer that the effectiveness of the registrant’s current disclosure controls and procedures (such disclosure controls and procedures having been evaluated within 90 days of the date of this filing) provide reasonable assurance that the information required to be disclosed by the registrant on this Form N-Q has been recorded, processed, summarized and reported within the time period specified in the Commission’s rules and forms and that the information required to be disclosed by the registrant on this Form N-Q has been accumulated and communicated to the registrant’s principal executive officer and principal financial officer in order to allow timely decisions regarding required disclosure.

(b) There have been no changes in the registrant’s internal controls over financial reporting during the fiscal quarter for which the report is being filed that have materially affected, or are reasonably likely to materially affect the registrant’s internal control over financial reporting.

Signatures

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Eaton Vance Growth Trust

 

By:   /s/ Duncan W. Richardson
  Duncan W. Richardson
  President
Date:   February 22, 2013

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By:   /s/ Duncan W. Richardson
  Duncan W. Richardson
  President
Date:   February 22, 2013

 

By:   /s/ Barbara E. Campbell
  Barbara E. Campbell
  Treasurer
Date:   February 22, 2013
 EX-99.CERT 2 d477201dex99cert.htm EX-99.CERT SECTION 302 CERTIFICATION EX-99.CERT Section 302 Certification

Eaton Vance Growth Trust

Certification

Pursuant to Rule 302 of the Sarbanes-Oxley Act of 2003

I, Duncan W. Richardson, certify that:

1. I have reviewed this report on Form N-Q of Eaton Vance Growth Trust;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the schedule of investments included in this report, fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is being filed;

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5. The registrant’s other certifying officers and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

By:   /s/ Duncan W. Richardson
  Duncan W. Richardson
  President
Date:   February 22, 2013

Eaton Vance Growth Trust

Certification

Pursuant to Rule 302 of the Sarbanes-Oxley Act of 2003

I, Barbara E. Campbell, certify that:

1. I have reviewed this report on Form N-Q Eaton Vance Growth Trust;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the schedule of investments included in this report, fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is being filed;

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5. The registrant’s other certifying officers and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

By:   /s/ Barbara E. Campbell
  Barbara E. Campbell
  Treasurer
Date:   February 22, 2013