Statement of Changes in Beneficial Ownership (4)
November 15 2019 - 3:12PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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PUHY DOROTHY E |
2. Issuer Name and Ticker or Trading Symbol
EATON VANCE CORP
[
EV
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
TWO INTERNATIONAL PLACE, EATON VANCE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2019 |
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(Street)
BOSTON, MA 02110
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Eaton Vance Corp. Non-voting Common Stock | | | | | | | | 23981.0000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Deferred Stock (1) | $0.0000 | 11/15/2019 | | A | | 28.0000 (2) | | (3) | (3) | Eaton Vance Corp. Non-voting Common Stock | 28.0000 | $0.0000 | 6222.0000 | D | |
| Phantom Stock (4) | $0.0000 | 11/15/2019 | | A | | 26.0000 (5) | | (6) | (6) | Eaton Vance Corp. Non-voting Common Stock | 26.0000 | $0.0000 | 2935.0000 | D | |
| Option (right to buy) | $28.2270 | | | | | | | 11/1/2012 | 11/1/2022 | Eaton Vance Corp. Non-voting Common Stock | 5680.0000 | | 5680.0000 | D | |
| Option (right to buy) | $36.7100 | | | | | | | 11/3/2014 | 11/3/2024 | Eaton Vance Corp. Non-voting Common Stock | 5737.0000 | | 5737.0000 | D | |
| Option (right to buy) | $36.7600 | | | | | | | 11/2/2015 | 11/2/2025 | Eaton Vance Corp. Non-voting Common Stock | 7451.0000 | | 7451.0000 | D | |
| Explanation of Responses: |
| (1) | Each share of Deferred Stock is the economic equivalent of one share of non-voting common stock. |
| (2) | 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. |
| (3) | 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. |
| (4) | Each share of Phantom Stock is the economic equivalent of one share of non-voting common stock. |
| (5) | 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. |
| (6) | The shares of Phantom Stock granted on November 1, 2017 become payable in cash upon the non-employee director's termination. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
PUHY DOROTHY E
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA 02110 | X |
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Signatures
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| Mark J. Bumann, Attorney-in-fact | | 11/15/2019 |
| **Signature of Reporting Person | Date |
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