0001225208-19-014536.txt : 20191115 0001225208-19-014536.hdr.sgml : 20191115 20191115152553 ACCESSION NUMBER: 0001225208-19-014536 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191115 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH WINTHROP H JR CENTRAL INDEX KEY: 0001287807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 191224340 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: 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 4 1 doc4.xml X0306 4 2019-11-15 0000350797 EATON VANCE CORP EV 0001287807 SMITH WINTHROP H JR TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Eaton Vance Corp. Non-voting Common Stock 19000.0000 D Deferred Stock 0.0000 2019-11-15 4 A 0 28.0000 0.0000 A Eaton Vance Corp. Non-voting Common Stock 28.0000 6222.0000 D Phantom Stock 0.0000 2019-11-15 4 A 0 26.0000 0.0000 A Eaton Vance Corp. Non-voting Common Stock 26.0000 2935.0000 D Option (right to buy) 34.8400 2016-11-01 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 11777.0000 11777.0000 D Option (right to buy) 36.7100 2014-11-03 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 5737.0000 5737.0000 D Option (right to buy) 36.7600 2015-11-02 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 7451.0000 7451.0000 D Option (right to buy) 41.9000 2013-11-01 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 4045.0000 4045.0000 D Each share of Deferred Stock is the economic equivalent of one share of non-voting common stock. As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Deferred Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Deferred Stock Awarded at the time such dividends are paid to the stock holders of the Company. Shares of Deferred Stock become payable in cash based on the non-employee director's election at either (1) the earlier of the second anniversary of the grant date or the date of the non-employee director's termination, or (2) upon the non-employee director's termination. Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. As dividends are paid with respect to Company Non-Voting Common Stock, a number of units of Phantom Stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee Director with respect to each unit of Phantom Stock Awarded at the time such dividends are paid to the stock holders of the Company. The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination. Mark J. Bumann, Attorney-in-fact 2019-11-15