0001225208-21-000830.txt : 20210115 0001225208-21-000830.hdr.sgml : 20210115 20210115134308 ACCESSION NUMBER: 0001225208-21-000830 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210114 FILED AS OF DATE: 20210115 DATE AS OF CHANGE: 20210115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marius Frederick S CENTRAL INDEX KEY: 0001417861 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 21531260 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 2021-01-14 0000350797 EATON VANCE CORP EV 0001417861 Marius Frederick S TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Chief Legal Officer Eaton Vance Corp. Non-voting Common Stock 2021-01-14 4 M 0 3542.0000 28.2270 A 40491.0000 D Eaton Vance Corp. Non-voting Common Stock 2021-01-14 4 M 0 2724.0000 36.7100 A 43215.0000 D Eaton Vance Corp. Non-voting Common Stock 2021-01-14 4 M 0 2720.0000 36.7600 A 45935.0000 D Eaton Vance Corp. Non-voting Common Stock 2021-01-14 4 M 0 2386.0000 41.9000 A 48321.0000 D Voting Trust Receipt 18623.0000 D Eaton Vance Corp. Common Stock (Voting) 18623.0000 I By Voting Trust Option (right to buy) 28.2270 2021-01-14 4 M 0 3542.0000 0.0000 D 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 3542.0000 5126.0000 D Option (right to buy) 41.9000 2021-01-14 4 M 0 2386.0000 0.0000 D 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 2386.0000 10242.0000 D Option (right to buy) 36.7600 2021-01-14 4 M 0 2720.0000 0.0000 D 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 2720.0000 25882.0000 D Option (right to buy) 36.7100 2021-01-14 4 M 0 2724.0000 0.0000 D 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 2724.0000 21801.0000 D Option (right to buy) 34.8400 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 34600.0000 34600.0000 D Option (right to buy) 45.5000 2028-11-01 Eaton Vance Corp. Non-voting Common Stock 28831.0000 28831.0000 D Option (right to buy) 46.1500 2029-11-01 Eaton Vance Corp. Non-voting Common Stock 30018.0000 30018.0000 D Option (right to buy) 50.6700 2027-11-01 Eaton Vance Corp. Non-voting Common Stock 20840.0000 20840.0000 D Restricted Stock Unit 0.0000 Eaton Vance Corp. Non-voting Common Stock 13474.5100 13474.5100 D All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Thomas E. Faust, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami, Eric A. Stein, Andrew N. Sveen, Paul W. Bouchey, John Streur, Thomas B. Lee and Thomas C. Seto are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on November 1, 2019 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%. Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023 Mark J. Bumann, Attorney-in-fact 2021-01-15