Annual Statement of Changes in Beneficial Ownership (5)
December 16 2019 - 12:46PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
[X]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
HYLTON LAURIE G | 2. Issuer Name and Ticker or Trading SymbolEATON VANCE CORP [EV] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
TWO INTERNATIONAL PLACE, EATON VANCE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 10/31/2019 |
(Street)
BOSTON, MA 02110
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Eaton Vance Corp. Non-voting Common Stock | 10/31/2016 | | F4 | 2852.0000 (1) | D | $35.0600 | 201436.0000 | D | |
Eaton Vance Corp. Non-voting Common Stock | 10/28/2019 | | G | 11307.0000 | D | $45.8800 | 220746.0000 | D | |
Voting Trust Receipt | | | | | | | 18623.0000 | D | |
Eaton Vance Corp. Non-voting Common Stock | | | | | | | 9080.0000 | I | By Custodian For Children |
Eaton Vance Corp. Common Stock (Voting) | | | | | | | 18623.0000 (2) | I | By Voting Trust |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option (right to buy) | $28.2270 | | | | | | (3) | 11/1/2022 | Eaton Vance Corp. Non-voting Common Stock | 20861.0000 | | 20861.0000 | D | |
Option (right to buy) | $34.8400 | | | | | | (4) | 11/1/2026 | Eaton Vance Corp. Non-voting Common Stock | 58380.0000 | | 58380.0000 | D | |
Option (right to buy) | $36.7100 | | | | | | (5) | 11/3/2024 | Eaton Vance Corp. Non-voting Common Stock | 51360.0000 | | 51360.0000 | D | |
Option (right to buy) | $36.7600 | | | | | | (6) | 11/2/2025 | Eaton Vance Corp. Non-voting Common Stock | 51000.0000 | | 51000.0000 | D | |
Option (right to buy) | $41.9000 | | | | | | (7) | 11/1/2023 | Eaton Vance Corp. Non-voting Common Stock | 32240.0000 | | 32240.0000 | D | |
Option (right to buy) | $45.5000 | | | | | | (8) | 11/1/2028 | Eaton Vance Corp. Non-voting Common Stock | 55104.0000 | | 55104.0000 | D | |
Option (right to buy) | $50.6700 | | | | | | (9) | 11/1/2027 | Eaton Vance Corp. Non-voting Common Stock | 34840.0000 | | 34840.0000 | D | |
Explanation of Responses: |
(1) | Shares were sold to cover the exercise cost associated with the exercise of a stock option on 10/31/2016. |
(2) | 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, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. |
(3) | Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
(4) | Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
(5) | Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
(6) | Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
(7) | Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
(8) | Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
(9) | Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HYLTON LAURIE G TWO INTERNATIONAL PLACE EATON VANCE BOSTON, MA 02110 |
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| Chief Financial Officer |
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Signatures
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Mark J. Bumann, Attorney-in-fact | | 12/13/2019 |
**Signature of Reporting Person | Date |
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