-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EDCkBzh8fmx3sT/DH3LmT4stLrsJVwqojpYyHJYmOnml1HwzMgHxeayP2UAVlMlj kFJNU9Lrt2bFLN93GtK24Q== 0000350797-03-000030.txt : 20031105 0000350797-03-000030.hdr.sgml : 20031105 20031105172350 ACCESSION NUMBER: 0000350797-03-000030 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030501 FILED AS OF DATE: 20031105 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: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STEET STREET 2: 11TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DYNNER ALAN R CENTRAL INDEX KEY: 0001225366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 03980348 BUSINESS ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 4 1 dyn54.xml X0201 4 2003-05-01 0 0000350797 EATON VANCE CORP EV 0001225366 DYNNER ALAN R THE EATON VANCE BUILDING 255 STATE STREET BOSTON MA 021092617 0 1 0 0 Voting Trustee Eaton Vance Corp. Non-voting Common Stock 2003-05-01 5 A 0 477 26.1900 A 182072 D Eaton Vance Corp. Non-voting Common Stock 2003-11-03 5 A 0 470 26.5590 A 182542 D Eaton Vance Corp. Non-voting Common Stock 18558 I By Voting Trust Voting Trust Receipt 18558 D Option (right to buy) 0.0000 2003-11-03 4 A 0 40300 0 A Eaton Vance Corp. Non-voting Common Stock 40300 40300 D Option (right to buy) 0.0000 Eaton Vance Corp. Non-voting Common Stock 30000 30000 D Option (right to buy) 0.0000 Eaton Vance Corp. Non-voting Common Stock 34700 34700 D Option (right to buy) 0.0000 Eaton Vance Corp. Non-voting Common Stock 39200 39200 D Option (right to buy) 11.4688 2006-11-02 Eaton Vance Corp. Non-voting Common Stock 40000 40000 D Option (right to buy) 17.1875 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 30000 30000 D These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Mssrs. James B. Hawkes, Thomas E. Faust, Jr., Alan R. Dynner, William M. Steul, Wharton P. Whitaker, Thomas J. Fetter, Duncan W. Richardson, Jeffrey P. Beale, Scott H. Page, Payson F. Swaffield and Michael W. Weilheimer are the voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. A Voting Trust Receipt represents a share of Voting Common Stock. Granted under the 1998 Stock Option Plan, which is a 16b-3 plan. Granted on November 3, 2003, the Incentive Stock Option has an exercise price of $38.522 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $35.02 (equal to fair market value at the time of grant). These options vest over a 5 year period at 20% per year. The Incentive Stock Option has a 5 year life, expiring on November 3, 2008, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 3, 2013. Granted on November 1, 2000, the Incentive Stock Option has an exercise price of $26.9844 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $24.5313 (equal to fair market value at the time of grant). Granted on November 1, 2001, the Incentive Stock Option has an exercise price of $31.537 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $28.67 (equal to fair market value at the time of grant). Granted on November 1, 2002, the Incentive Stock Option has an exercise price of $32.01 (110% of market value at the time of grant), as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has an exercise price of $29.10 (equal to fair market value at the time of grant). Granted on November 2, 1998, these options vest over 5 years starting in 1999 in increments of 14%, 14%, 14%, 36%, and 22% respectively. Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. The Incentive Stock Option has a 5 year life, expiring on November 1, 2005, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2010. The Incentive Stock Option has a 5 year life, expiring on November 1, 2006, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2011. The Incentive Stock Option has a 5 year life, expiring on November 1, 2007, as determined under Section 424(d) of the Internal Revenue Code of 1986. The Non-Qualified Stock Option has a 10 year life, expiring on November 1, 2012. By: Katie McManus, Attorney in Fact 2003-11-05 -----END PRIVACY-ENHANCED MESSAGE-----