0001225208-21-004555.txt : 20210303 0001225208-21-004555.hdr.sgml : 20210303 20210303172902 ACCESSION NUMBER: 0001225208-21-004555 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210301 FILED AS OF DATE: 20210303 DATE AS OF CHANGE: 20210303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Witkos Matthew J CENTRAL INDEX KEY: 0001402398 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08100 FILM NUMBER: 21710679 MAIL ADDRESS: STREET 1: 255 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Mirror Merger Sub 2, LLC 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 FORMER COMPANY: FORMER CONFORMED NAME: EATON VANCE CORP DATE OF NAME CHANGE: 19920703 4 1 doc4.xml X0306 4 2021-03-01 1 0000350797 Mirror Merger Sub 2, LLC EV 0001402398 Witkos Matthew J TWO INTERNATIONAL PLACE EATON VANCE BOSTON MA 02110 1 Pres & CEO EV Distributors Inc Eaton Vance Corp. Non-voting Common Stock 2021-03-01 4 D 0 204007.8408 0 D 0.0000 D Voting Trust Receipt 2021-03-01 4 D 0 18623.0000 0 D 0.0000 D Eaton Vance Corp. Non-voting Common Stock 2021-03-01 4 D 0 344.0000 0 D 0.0000 I By Trust Eaton Vance Corp. Common Stock (Voting) 2021-03-01 4 D 0 18623.0000 0 D 0.0000 I By Voting Trust Option (right to buy) 28.2270 2021-03-01 4 D 0 33411.0000 44.7730 D 2022-11-01 Eaton Vance Corp. Non-voting Common Stock 33411.0000 0.0000 D Option (right to buy) 41.9000 2021-03-01 4 D 0 91760.0000 31.1000 D 2023-11-01 Eaton Vance Corp. Non-voting Common Stock 91760.0000 0.0000 D Option (right to buy) 34.8400 2021-03-01 4 D 0 127340.0000 38.1600 D 2026-11-01 Eaton Vance Corp. Non-voting Common Stock 127340.0000 0.0000 D Option (right to buy) 50.6700 2021-03-01 4 D 0 79660.0000 22.3300 D 2027-11-01 Eaton Vance Corp. Non-voting Common Stock 79660.0000 0.0000 D Option (right to buy) 45.5000 2021-03-01 4 D 0 106520.0000 27.5000 D 2028-11-01 Eaton Vance Corp. Non-voting Common Stock 106520.0000 0.0000 D Option (right to buy) 46.1500 2021-03-01 4 D 0 111876.0000 26.8500 D 2029-11-01 Eaton Vance Corp. Non-voting Common Stock 111876.0000 0.0000 D Option (right to buy) 36.7600 2021-03-01 4 D 0 105220.0000 36.2400 D 2025-11-02 Eaton Vance Corp. Non-voting Common Stock 105220.0000 0.0000 D Option (right to buy) 36.7100 2021-03-01 4 D 0 108580.0000 36.2900 D 2024-11-03 Eaton Vance Corp. Non-voting Common Stock 108580.0000 0.0000 D Restricted Stock Unit 0.0000 2021-03-01 4 D 0 32531.6000 D Eaton Vance Corp. Non-voting Common Stock 32531.6000 0.0000 D Restricted Stock Unit 0.0000 2021-03-01 4 D 0 8919.0000 D 2024-02-25 Eaton Vance Corp. Non-voting Common Stock 8919.0000 0.0000 D Disposed of pursuant to the Agreement and Plan of Merger, dated as of October 7, 2020 (the Merger Agreement), by and among Issuer, Morgan Stanley, Mirror Merger Sub 1, Inc. and Mirror Merger Sub 2, LLC, in exchange for $4,587,743.36 and 134,647 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger. Disposed of pursuant to the Merger Agreement in exchange for $418,139.75 and 12,270 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger. Disposed of pursuant to the Merger Agreement, in combination with the position disposed in footnote (1), in exchange for $4,587,743.36 and 134,647 shares of Morgan Stanley Common Stock having a market value of $79.16 per share on the Effective Date of the Merger. This option award, which was granted on November 1, 2012 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $1,495,907.70. This option award, which was granted on November 1, 2013 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $2,853,736.00. This option award, which was granted on November 1, 2016 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $4,859,294.40. This option award, which was granted on November 1, 2017 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $1,778,807.80. This option award, which was granted on November 1, 2018 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $2,929,300.00. This option award, which was granted on November 1, 2019 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $3,003,870.60. This option award, which was granted on November 1, 2015 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $3,813,172.80. This option award, which was granted on November 3, 2014 and provided for vesting over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $3,940,368.20. Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock. This Restricted Stock Unit award, which was granted on November 2, 2020 and provided for 50% of vesting on 11/02/2022 and 50% of vesting on 11/02/2023, was assumed by Morgan Stanley and converted into Restricted Stock Units relating to Morgan Stanley Common Stock. This Restricted Stock Unit award, which was granted on February 25, 2021 and provided for 50% of vesting on 02/25/2023 and 50% of vesting on 02/25/2024, was assumed by Morgan Stanley and converted into Restricted Stock Units relating to Morgan Stanley Common Stock. Mark J. Bumann, Attorney-in-fact 2021-03-03