-----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, Crosm2kIc4GBnugaJJzXmH2k2GXSuyA8fYktTZg1uF1ZQ42kT+h1rw/NvDIQvjAf FY84BJmh9qH/6SIQ58AJaw== 0000350797-07-000112.txt : 20071214 0000350797-07-000112.hdr.sgml : 20071214 20071214121329 ACCESSION NUMBER: 0000350797-07-000112 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071031 FILED AS OF DATE: 20071214 DATE AS OF CHANGE: 20071214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DYNNER ALAN R CENTRAL INDEX KEY: 0001225366 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 071306552 BUSINESS ADDRESS: BUSINESS PHONE: 6174828260 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: 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 5 1 dyn389.xml X0202 5 2007-10-31 0 0 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. Common Stock (Voting) 37116.00 I By Voting Trust Eaton Vance Corp. Non-voting Common Stock 445493.00 D Voting Trust Receipt 37116.00 D Option (right to buy) 8.59 2009-11-01 Eaton Vance Corp. Non-voting Common Stock 60000.00 60000.00 D Option (right to buy) 12.27 2010-11-01 Eaton Vance Corp. Non-voting Common Stock 51848.00 51848.00 D Option (right to buy) 14.34 2011-11-01 Eaton Vance Corp. Non-voting Common Stock 62426.00 62426.00 D Option (right to buy) 14.55 2012-11-01 Eaton Vance Corp. Non-voting Common Stock 71528.00 71528.00 D Option (right to buy) 17.51 2013-11-03 Eaton Vance Corp. Non-voting Common Stock 80600.00 80600.00 D Option (right to buy) 21.96 2014-11-01 Eaton Vance Corp. Non-voting Common Stock 68400.00 68400.00 D Option (right to buy) 24.87 2015-11-01 Eaton Vance Corp. Non-voting Common Stock 58200.00 58200.00 D Option (right to buy) 30.11 2016-11-01 Eaton Vance Corp. Non-voting Common Stock 55200.00 55200.00 D All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which James B. Hawkes, Thomas E. Faust, William M. Steul, Alan R. Dynner, Duncan Richardson, Thomas Metzold, Robert MacIntosh, Payson Swaffield, Jeffrey P. Beale, Michael Mach, Judith Saryan, Scott Page, Cynthia Clemson, Michael Weilheimer, G. West Saltonstall, Lisa Jones, Robert Whelan and Matthew Witkos 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 on November 1, 1999, these options vest over a 5 year period at 20% per year. Granted on 11/1/2000 these option vest 23% on 11/1/2001, 11/1/2002, 11/1/2003, 11/1/2005 and 8% on 11/1/2004 Granted on 11/1/2001 these options vest 22% 11/1/2002, 11/1/2003, 11/1/2004 11/1/2006 and 12% on 11/1/2005 Granted on 11/1/2002 these options vest 22% on 11/1/2003, 11/1/2004, 11/2/2005, 11/1/2007 and 12% on 11/1/2006 Granted on November 3, 2003, these options vest over a 5 year period at 20% per year. 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%. By: Katie McManus, Attorney in Fact 2007-12-14 -----END PRIVACY-ENHANCED MESSAGE-----