0001193125-14-024085.txt : 20140128 0001193125-14-024085.hdr.sgml : 20140128 20140128151208 ACCESSION NUMBER: 0001193125-14-024085 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131130 FILED AS OF DATE: 20140128 DATE AS OF CHANGE: 20140128 EFFECTIVENESS DATE: 20140128 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: 14552488 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 S000031537 Eaton Vance Focused Growth Opportunities Fund C000098128 Eaton Vance Focused Growth Opportunities Fund Class A C000098129 Eaton Vance Focused Growth Opportunities Fund Class C C000098130 Eaton Vance Focused Growth Opportunities Fund Class I 0000102816 S000031538 Eaton Vance Focused Value Opportunities Fund C000098131 Eaton Vance Focused Value Opportunities Fund Class A C000098132 Eaton Vance Focused Value Opportunities Fund Class C C000098133 Eaton Vance Focused Value Opportunities Fund Class I 0000102816 S000036597 Eaton Vance Global Natural Resources Fund C000111926 Eaton Vance Global Natural Resources Fund Class A C000111928 Eaton Vance Global Natural Resources Fund Class I N-Q 1 d652299dnq.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)

February 28

Date of Fiscal Year End

November 30, 2013

Date of Reporting Period

 

 

 

Item 1. Schedule of Investments

Eaton Vance Focused Growth Opportunities Fund

Eaton Vance Focused Value Opportunities Fund

Eaton Vance Global Natural Resources Fund

Eaton Vance

Focused Growth Opportunities Fund

November 30, 2013

PORTFOLIO OF INVESTMENTS (Unaudited)

Common Stocks — 97.6%

 

                                                 
Security    Shares      Value  

Air Freight & Logistics — 2.8%

      
C.H. Robinson Worldwide, Inc.      9,968       $ 584,424   
     

 

 

  
      $ 584,424   
     

 

 

  

Airlines — 2.6%

      
United Continental Holdings, Inc.(1)      13,568       $ 532,544   
     

 

 

  
      $ 532,544   
     

 

 

  

Automobiles — 2.1%

      

Volkswagen AG, PFC Shares

      1,625       $ 430,604   
     

 

 

  
      $ 430,604   
     

 

 

  

Biotechnology — 9.5%

      
Amgen, Inc.      4,229       $ 482,444   
Biogen Idec, Inc.(1)      2,182         634,897   
Gilead Sciences, Inc.(1)      11,210         838,620   
     

 

 

  
      $ 1,955,961   
     

 

 

  

Building Products — 2.5%

      
Armstrong World Industries, Inc.(1)      9,877       $ 525,456   
     

 

 

  
      $ 525,456   
     

 

 

  

Chemicals — 3.2%

      
Ecolab, Inc.      3,441       $ 368,772   
Monsanto Co.      2,529         286,612   
     

 

 

  
      $ 655,384   
     

 

 

  

Commercial Banks — 2.0%

      
Regions Financial Corp.      41,683       $ 405,576   
     

 

 

  
      $ 405,576   
     

 

 

  

Communications Equipment — 5.2%

      
F5 Networks, Inc.(1)      5,564       $ 457,695   
QUALCOMM, Inc.      8,429         620,206   
     

 

 

  
      $ 1,077,901   
     

 

 

  

Computers & Peripherals — 9.5%

      
Apple, Inc.      1,940       $ 1,078,776   
EMC Corp.      20,491         488,710   
NCR Corp.(1)      11,137         389,238   
     

 

 

  
      $ 1,956,724   
     

 

 

  

Diversified Financial Services — 4.2%

      

Citigroup, Inc.

      16,390       $ 867,359   
     

 

 

  
      $ 867,359   
     

 

 

  

Food & Staples Retailing — 2.6%

      

Costco Wholesale Corp.

      4,196       $ 526,304   
     

 

 

  
      $ 526,304   
     

 

 

  

 

1

 

 

                                                 
Security    Shares      Value  

Food Products — 2.9%

      

Mondelez International, Inc., Class A

      17,929       $ 601,159   
     

 

 

  
      $ 601,159   
     

 

 

  

Health Care Equipment & Supplies — 2.8%

      

Medtronic, Inc.

      10,079       $ 577,728   
     

 

 

  
      $ 577,728   
     

 

 

  

Internet & Catalog Retail — 7.0%

      

Amazon.com, Inc.(1)

      1,956       $ 769,921   

priceline.com, Inc.(1)

      562         670,089   
     

 

 

  
      $ 1,440,010   
     

 

 

  

Internet Software & Services — 7.3%

      

Facebook, Inc., Class A(1)

      13,901       $ 653,486   

Google, Inc., Class A(1)

      813         861,447   
     

 

 

  
      $ 1,514,933   
     

 

 

  

Leisure Equipment & Products — 2.0%

      

Brunswick Corp.

      9,088       $ 415,322   
     

 

 

  
      $ 415,322   
     

 

 

  

Machinery — 6.7%

      

Caterpillar, Inc.

      5,236       $ 442,966   

Donaldson Co., Inc.

      12,254         511,359   

Wabtec Corp.

      6,184         426,696   
     

 

 

  
      $ 1,381,021   
     

 

 

  

Media — 1.9%

      

Walt Disney Co. (The)

      5,534       $ 390,368   
     

 

 

  
      $ 390,368   
     

 

 

  

Oil, Gas & Consumable Fuels — 2.8%

      

EOG Resources, Inc.

      1,856       $ 306,240   

Occidental Petroleum Corp.

      2,772         263,229   
     

 

 

  
      $ 569,469   
     

 

 

  

Personal Products — 2.3%

      

Estee Lauder Cos., Inc. (The), Class A

      6,464       $ 484,541   
     

 

 

  
      $ 484,541   
     

 

 

  

Pharmaceuticals — 4.5%

      

Perrigo Co.

      3,285       $ 512,098   

Roche Holding AG ADR

      5,874         411,474   
     

 

 

  
      $ 923,572   
     

 

 

  

Semiconductors & Semiconductor Equipment — 2.4%

      

Avago Technologies, Ltd.

      11,061       $ 494,759   
     

 

 

  
      $ 494,759   
     

 

 

  

Software — 2.8%

      

VMware, Inc., Class A(1)

      7,120       $ 574,086   
     

 

 

  
      $ 574,086   
     

 

 

  

Specialty Retail — 6.0%

      

AutoNation, Inc.(1)

      16,583       $ 813,230   

Staples, Inc.

      27,615         428,861   
     

 

 

  
      $ 1,242,091   
     

 

 

  

Total Common Stocks
(identified cost $16,433,767)

       $ 20,127,296   
     

 

 

  

 

2

 

 

                                                 

Short-Term Investments — 2.7%

      
Description    Interest
(000’s omitted)		      Value  

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

    $ 558       $ 558,204   
     

 

 

  

Total Short-Term Investments
(identified cost $558,204)

       $ 558,204   
     

 

 

  

Total Investments — 100.3%
(identified cost $16,991,971)

       $ 20,685,500   
     

 

 

  

Other Assets, Less Liabilities — (0.3)%

       $ (62,571 ) 
     

 

 

  

Net Assets — 100.0%

       $ 20,622,929   
     

 

 

  

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

 

ADR   -   American Depositary Receipt
PFC Shares   -   Preference Shares

 

(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 November 30, 2013. Net income allocated from the investment in Eaton Vance Cash Reserves Fund, LLC for the fiscal year to date ended November 30, 2013 was $527.

The Fund did not have any open financial instruments at November 30, 2013.

The cost and unrealized appreciation (depreciation) of investments of the Fund at November 30, 2013, as determined on a federal income tax basis, were as follows:

 

Aggregate cost

    $      16,995,810   
  

 

 

  

Gross unrealized appreciation

    $ 3,845,079   

Gross unrealized depreciation

      (155,389 ) 
  

 

 

  

Net unrealized appreciation

    $ 3,689,690   
  

 

 

  

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 November 30, 2013, 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

           

Consumer Discretionary

    $ 3,487,791       $ 430,604      $ —       $ 3,918,395   

Consumer Staples

      1,612,004         —        —         1,612,004   

Energy

      569,469         —        —         569,469   

Financials

      1,272,935         —        —         1,272,935   

Health Care

      3,457,261         —        —         3,457,261   

Industrials

      3,023,445         —        —         3,023,445   

Information Technology

      5,618,403         —        —         5,618,403   

Materials

      655,384         —        —         655,384   

Total Common Stocks

    $ 19,696,692       $ 430,604 *    $ —       $ 20,127,296   

Short-Term Investments

    $ —       $ 558,204      $ —       $ 558,204   

Total Investments

    $     19,696,692       $     988,808      $ —       $     20,685,500   

 

* Includes foreign equity securities whose values were adjusted to reflect market trading of comparable securities or other correlated instruments that occurred after the close of trading in their applicable foreign markets.

The Fund held no investments or other financial instruments as of February 28, 2013 whose fair value was determined using Level 3 inputs. At November 30, 2013, 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.

 

4

 

 

Eaton Vance

Focused Value Opportunities Fund

November 30, 2013

PORTFOLIO OF INVESTMENTS (Unaudited)

Common Stocks — 99.8%

 

                                                 
Security    Shares      Value  

Aerospace & Defense — 5.9%

      

Boeing Co. (The)

      9,220       $ 1,237,785   
     

 

 

  
      $ 1,237,785   
     

 

 

  

Airlines — 3.0%

      

United Continental Holdings, Inc.(1)

      16,314       $ 640,325   
     

 

 

  
      $ 640,325   
     

 

 

  

Capital Markets — 7.5%

      

Blackstone Group L.P. (The)

      24,900       $ 711,642   

Morgan Stanley

      27,840         871,392   
     

 

 

  
      $ 1,583,034   
     

 

 

  

Chemicals — 3.4%

      

LyondellBasell Industries NV, Class A

      9,258       $ 714,533   
     

 

 

  
      $ 714,533   
     

 

 

  

Commercial Banks — 4.3%

      

Wells Fargo & Co.

      20,743       $ 913,107   
     

 

 

  
      $ 913,107   
     

 

 

  

Communications Equipment — 2.1%

      

QUALCOMM, Inc.

      6,102       $ 448,985   
     

 

 

  
      $ 448,985   
     

 

 

  

Computers & Peripherals — 5.3%

      

Apple, Inc.

      1,056       $ 587,210   

NCR Corp.(1)

      14,913         521,209   
     

 

 

  
      $ 1,108,419   
     

 

 

  

Diversified Financial Services — 9.2%

      

Citigroup, Inc.

      18,522       $ 980,184   

JPMorgan Chase & Co.

      16,563         947,735   
     

 

 

  
      $ 1,927,919   
     

 

 

  

Diversified Telecommunication Services — 2.5%

      

AT&T, Inc.

      15,021       $ 528,889   
     

 

 

  
      $ 528,889   
     

 

 

  

Food & Staples Retailing — 3.0%

      

CVS Caremark Corp.

      9,465       $ 633,776   
     

 

 

  
      $ 633,776   
     

 

 

  

Food Products — 2.9%

      

Nestle SA ADR

      8,243       $ 602,646   
     

 

 

  
      $ 602,646   
     

 

 

  

Health Care Equipment & Supplies — 2.9%

      

Covidien PLC

      8,958       $ 611,473   
     

 

 

  
      $ 611,473   
     

 

 

  

Insurance — 7.9%

      

ACE, Ltd.

      8,120       $ 834,573   

MetLife, Inc.

      15,746         821,784   
     

 

 

  
      $ 1,656,357   
     

 

 

  

 

1

 

 

                                                 
Security    Shares      Value  

Life Sciences Tools & Services — 3.2%

      

Thermo Fisher Scientific, Inc.

      6,706       $ 676,300   
     

 

 

  
      $ 676,300   
     

 

 

  

Media — 2.6%

      

Time Warner, Inc.

      8,278       $ 543,947   
     

 

 

  
      $ 543,947   
     

 

 

  

Multi-Utilities — 4.1%

      

Sempra Energy

      9,637       $ 852,296   
     

 

 

  
      $ 852,296   
     

 

 

  

Multiline Retail — 5.7%

      

Dollar General Corp.(1)

      9,059       $ 515,820   

Macy’s, Inc.

      12,681         675,390   
     

 

 

  
      $ 1,191,210   
     

 

 

  

Oil, Gas & Consumable Fuels — 15.9%

      

Chevron Corp.

      6,194       $ 758,393   

EOG Resources, Inc.

      3,742         617,430   

Marathon Oil Corp.

      20,165         726,747   

Occidental Petroleum Corp.

      5,987         568,526   

Phillips 66

      9,479         659,833   
     

 

 

  
      $ 3,330,929   
     

 

 

  

Pharmaceuticals — 5.7%

      

Pfizer, Inc.

      21,759       $ 690,413   

Roche Holding AG PC

      1,828         509,875   
     

 

 

  
      $ 1,200,288   
     

 

 

  

Road & Rail — 2.7%

      

Union Pacific Corp.

      3,543       $ 574,108   
     

 

 

  
      $ 574,108   
     

 

 

  

Total Common Stocks
(identified cost $17,044,597)

       $ 20,976,326   
     

 

 

  

Short-Term Investments — 0.2%

      
Description    Interest
(000’s omitted)		      Value  

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

    $ 44       $ 44,473   
     

 

 

  

Total Short-Term Investments
(identified cost $44,473)

       $ 44,473   
     

 

 

  

Total Investments — 100.0%
(identified cost $17,089,070)

       $ 21,020,799   
     

 

 

  

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

       $ (7,371 ) 
     

 

 

  

Net Assets — 100.0%

       $ 21,013,428   
     

 

 

  

 

 

2

 

 

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

 

ADR   -   American Depositary Receipt
PC   -   Participation Certificate

 

(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 November 30, 2013. Net income allocated from the investment in Eaton Vance Cash Reserves Fund, LLC for the fiscal year to date ended November 30, 2013 was $273.

 

(3) Amount is less than 0.05%.

The Fund did not have any open financial instruments at November 30, 2013.

The cost and unrealized appreciation (depreciation) of investments of the Fund at November 30, 2013, as determined on a federal income tax basis, were as follows:

 

Aggregate cost

    $      17,105,171   
  

 

 

  

Gross unrealized appreciation

    $ 3,924,480   

Gross unrealized depreciation

      (8,852 ) 
  

 

 

  

Net unrealized appreciation

    $ 3,915,628   
  

 

 

  

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 November 30, 2013, 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           

Consumer Discretionary

    $ 1,735,157       $ —      $ —       $ 1,735,157   

Consumer Staples

      1,236,422         —        —         1,236,422   

Energy

      3,330,929         —        —         3,330,929   

Financials

      6,080,417         —        —         6,080,417   

Health Care

      1,978,186         509,875        —         2,488,061   

Industrials

      2,452,218         —        —         2,452,218   

Information Technology

      1,557,404         —        —         1,557,404   

Materials

      714,533         —        —         714,533   

Telecommunication Services

      528,889         —        —         528,889   

Utilities

      852,296         —        —         852,296   

Total Common Stocks

    $ 20,466,451       $ 509,875 *    $ —       $ 20,976,326   

Short-Term Investments

    $ —       $ 44,473      $ —       $ 44,473   

Total Investments

    $     20,466,451       $     554,348      $ —       $     21,020,799   

 

* Includes foreign equity securities whose values were adjusted to reflect market trading of comparable securities or other correlated instruments that occurred after the close of trading in their applicable foreign markets.

The Fund held no investments or other financial instruments as of February 28, 2013 whose fair value was determined using Level 3 inputs. At November 30, 2013, 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

Global Natural Resources Fund

November 30, 2013

PORTFOLIO OF INVESTMENTS (Unaudited)

Common Stocks — 90.9%

 

                                                 
Security    Shares      Value  

Energy — 65.5%

      

Energy Equipment & Services — 13.7%

      

Baker Hughes, Inc.

      2,800       $ 159,488   

Cameron International Corp.(1)

      2,800         155,092   

Halliburton Co.

      1,466         77,229   

Noble Corp. PLC

      3,500         133,420   

Schlumberger, Ltd.

      1,000         88,420   

Superior Energy Services, Inc.(1)

      2,000         50,960   

Trican Well Service, Ltd.

      5,100         60,669   
     

 

 

  
      $ 725,278   
     

 

 

  

Oil, Gas & Consumable Fuels — 51.8%

      

Anadarko Petroleum Corp.

      1,000       $ 88,820   

Apache Corp.

      500         45,745   

ARC Resources, Ltd.

      3,600         96,933   

Cameco Corp.

      5,800         118,997   

Canadian Natural Resources, Ltd.

      2,600         85,643   

Chevron Corp.

      1,400         171,416   

Cimarex Energy Co.

      1,500         141,870   

Continental Resources, Inc.(1)

      1,400         150,514   

Crew Energy, Inc.(1)

      30,778         165,976   

Devon Energy Corp.

      900         54,558   

Encana Corp.

      4,917         94,402   

ENI SpA

      7,900         189,097   

EOG Resources, Inc.

      900         148,500   

Exxon Mobil Corp.

      1,300         121,524   

Imperial Oil, Ltd.

      2,100         90,538   

Kelt Exploration, Ltd.(1)

      1,700         14,607   

Occidental Petroleum Corp.

      1,000         94,960   

Painted Pony Petroleum, Ltd.(1)

      11,012         66,639   

Peabody Energy Corp.

      1,500         27,300   

Peyto Exploration & Development Corp.

      1,800         53,633   

Royal Dutch Shell PLC ADR, Class A

      1,100         73,370   

Suncor Energy, Inc.

      5,800         201,585   

Surge Energy, Inc.

      9,272         55,149   

Tourmaline Oil Corp.(1)

      3,200         126,488   

Tullow Oil PLC

      2,000         28,402   

Valero Energy Corp.

      1,100         50,292   

Whitecap Resources, Inc.

      3,300         39,785   

Whiting Petroleum Corp.(1)

      2,200         132,880   
     

 

 

  
      $ 2,729,623   
     

 

 

  
      $ 3,454,901   
     

 

 

  

Materials — 25.4%

      

Chemicals — 6.0%

      

Ecolab, Inc.

      1,100       $ 117,887   

LyondellBasell Industries NV, Class A

      1,400         108,052   

Monsanto Co.

      800         90,664   
     

 

 

  
      $ 316,603   
     

 

 

  

Containers & Packaging — 1.6%

      

Rock-Tenn Co., Class A

      900       $ 84,978   
     

 

 

  
      $ 84,978   
     

 

 

  

 

1

 

 

                                                 
Security    Shares      Value  

Metals & Mining — 13.8%

      

Agnico-Eagle Mines, Ltd.

      1,300       $ 35,835   

BHP Billiton PLC

      3,100         94,047   

Capstone Mining Corp.(1)

      31,900         81,660   

First Quantum Minerals, Ltd.

      2,736         45,654   

Freeport-McMoRan Copper & Gold, Inc.

      3,800         131,822   

Goldcorp, Inc.

      1,300         29,180   

Iluka Resources, Ltd.

      3,100         24,711   

Lundin Mining Corp.(1)

      9,000         37,015   

Molycorp, Inc.(1)

      1,819         8,695   

Randgold Resources, Ltd. ADR

      500         35,375   

Regis Resources, Ltd.

      11,300         30,852   

Rio Tinto PLC

      2,300         122,143   

Teck Resources, Ltd., Class B

      2,000         48,468   
     

 

 

  
      $ 725,457   
     

 

 

  

Paper & Forest Products — 4.0%

      

Canfor Corp.(1)

      6,000       $ 132,135   

West Fraser Timber Co., Ltd.

      900         79,501   
     

 

 

  
      $ 211,636   
     

 

 

  
      $ 1,338,674   
     

 

 

  

Total Common Stocks
(identified cost $4,669,693)

       $ 4,793,575   
     

 

 

  

Short-Term Investments — 7.3%

      
Description    Interest
(000’s omitted)		      Value  

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

    $ 385       $ 384,765   
     

 

 

  

Total Short-Term Investments
(identified cost $384,765)

       $ 384,765   
     

 

 

  

Total Investments — 98.2%
(identified cost $5,054,458)

       $ 5,178,340   
     

 

 

  

Other Assets, Less Liabilities — 1.8%

       $ 92,811   
     

 

 

  

Net Assets — 100.0%

       $ 5,271,151   
     

 

 

  

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

 

ADR

   -   American Depositary Receipt

 

(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 November 30, 2013. Net income allocated from the investment in Eaton Vance Cash Reserves Fund, LLC for the fiscal year to date ended November 30, 2013 was $295.

 

2

 

 

Country Concentration of Portfolio

 

                                                 
Country   

Percentage of

Net Assets

     Value  

United States

      48.9 %    $ 2,578,379   

Canada

      33.4        1,760,492   

United Kingdom

      9.2        486,757   

Italy

      3.6        189,097   

Netherlands

      2.0        108,052   

Australia

      1.1        55,563   
  

 

 

    

 

 

  

Total Investments

      98.2 %    $     5,178,340   
  

 

 

    

 

 

  

The Fund did not have any open financial instruments at November 30, 2013.

The cost and unrealized appreciation (depreciation) of investments of the Fund at November 30, 2013, as determined on a federal income tax basis, were as follows:

 

Aggregate cost

    $     5,054,432   
  

 

 

  

Gross unrealized appreciation

    $ 435,849   

Gross unrealized depreciation

      (311,941 ) 
  

 

 

  

Net unrealized appreciation

    $ 123,908   
  

 

 

  

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 November 30, 2013, 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           

Energy

    $ 3,237,402       $ 217,499      $     —       $ 3,454,901   

Materials

      1,066,921         271,753        —         1,338,674   

Total Common Stocks

    $ 4,304,323       $ 489,252 *    $ —       $ 4,793,575   

Short-Term Investments

    $ —       $ 384,765      $ —       $ 384,765   

Total Investments

    $     4,304,323       $     874,017      $ —       $     5,178,340   

 

* Includes foreign equity securities whose values were adjusted to reflect market trading of comparable securities or other correlated instruments that occurred after the close of trading in their applicable foreign markets.

The Fund held no investments or other financial instruments as of February 28, 2013 whose fair value was determined using Level 3 inputs. At November 30, 2013, 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/ Payson F. Swaffield
  Payson F. Swaffield
  President
Date:   January 27, 2014

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/ Payson F. Swaffield
  Payson F. Swaffield
  President
Date:   January 27, 2014
By:   /s/ James F. Kirchner
  James F. Kirchner
  Treasurer
Date:   January 27, 2014
 EX-99.CERT 2 d652299dex99cert.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, Payson F. Swaffield, 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 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 officer(s) 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/ Payson F. Swaffield
  Payson F. Swaffield
  President
Date:   January 27, 2014

Eaton Vance Growth Trust

Certification

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

I, James F. Kirchner, 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 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 officer(s) 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/ James F. Kirchner
  James F. Kirchner
  Treasurer
Date:   January 27, 2014