Statement of Changes in Beneficial Ownership (4)
February 26 2021 - 6:48PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Langstraat Brian D. |
2. Issuer Name and Ticker or Trading Symbol
EATON VANCE CORP
[
EV
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
|
|
(Last)
(First)
(Middle)
TWO INTERNATIONAL PLACE, EATON VANCE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2021 |
|
(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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
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)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Eaton Vance Corp. Non-voting Common Stock | | | | | | | | 192339.0000 | D | |
| Voting Trust Receipt | | | | | | | | 27854.0000 | D | |
| Eaton Vance Corp. Common Stock (Voting) | | | | | | | | 27854.0000 (1) | I | By Voting Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
| Restricted Stock Unit (2) | $0.0000 | 2/25/2021 | | A | | 24016.0000 | | (3) | 2/25/2024 | Eaton Vance Corp. Non-voting Common Stock | 24016.0000 | $0.0000 | 24016.0000 | D | |
| Option (right to buy) | $24.4596 | | | | | | | (4) | 11/1/2021 | Eaton Vance Corp. Non-voting Common Stock | 20799.0000 | | 20799.0000 | D | |
| Option (right to buy) | $28.2271 | | | | | | | (5) | 11/1/2022 | Eaton Vance Corp. Non-voting Common Stock | 16475.0000 | | 16475.0000 | D | |
| Option (right to buy) | $34.8400 | | | | | | | (6) | 11/1/2026 | Eaton Vance Corp. Non-voting Common Stock | 190960.0000 | | 190960.0000 | D | |
| Option (right to buy) | $36.7100 | | | | | | | (7) | 11/3/2024 | Eaton Vance Corp. Non-voting Common Stock | 54500.0000 | | 54500.0000 | D | |
| Option (right to buy) | $36.7600 | | | | | | | (8) | 11/2/2025 | Eaton Vance Corp. Non-voting Common Stock | 149020.0000 | | 149020.0000 | D | |
| Option (right to buy) | $41.9000 | | | | | | | (9) | 11/1/2023 | Eaton Vance Corp. Non-voting Common Stock | 16620.0000 | | 16620.0000 | D | |
| Option (right to buy) | $45.5000 | | | | | | | (10) | 11/1/2028 | Eaton Vance Corp. Non-voting Common Stock | 171759.0000 | | 171759.0000 | D | |
| Option (right to buy) | $46.1500 | | | | | | | (11) | 11/1/2029 | Eaton Vance Corp. Non-voting Common Stock | 308465.0000 | | 308465.0000 | D | |
| Option (right to buy) | $50.6700 | | | | | | | (12) | 11/1/2027 | Eaton Vance Corp. Non-voting Common Stock | 131320.0000 | | 131320.0000 | D | |
| Restricted Stock Unit (2) | $0.0000 | | | | | | | (13) | (13) | Eaton Vance Corp. Non-voting Common Stock | 86817.3200 | | 86817.3200 | D | |
| Explanation of Responses: |
| (1) | 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. |
| (2) | Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock |
| (3) | Granted on February 25, 2021 these units vest 50% on 02/25/2023 and 50% on 02/25/2024. |
| (4) | Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
| (5) | Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
| (6) | Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
| (7) | Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
| (8) | Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%. |
| (9) | Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
| (10) | Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
| (11) | Granted on November 1, 2019 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
| (12) | Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%. |
| (13) | Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023 |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Langstraat Brian D.
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA 02110 | X |
|
|
|
Signatures
|
| Mark J. Bumann, Attorney-in-fact | | 2/26/2021 |
| **Signature of Reporting Person | Date |
Eaton Vance (NYSE:EV)
Historical Stock Chart
From Mar 2024 to Apr 2024
Eaton Vance (NYSE:EV)
Historical Stock Chart
From Apr 2023 to Apr 2024
