Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 5:26PM
Edgar (US Regulatory)
FORM 4
[X]
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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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
*
BERMAN ANN E |
2. Issuer Name and Ticker or Trading Symbol
Mirror Merger Sub 2, LLC
[
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)
3/1/2021 |
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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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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 | 3/1/2021 | | D | | | 2477.0000 | (2) | (2) | Eaton Vance Corp. Non-voting Common Stock | 2477.0000 | $73.0000 (2) | 0.0000 | D | |
| Deferred Stock (1) | $0.0000 | 3/1/2021 | | D | | | 3363.0000 | 11/1/2021 (3) | 11/1/2021 (3) | Eaton Vance Corp. Non-voting Common Stock | 3363.0000 | $73.0000 (3) | 0.0000 | D | |
| Option (right to buy) | $41.9000 | 3/1/2021 | | D | | | 4045.0000 | 11/1/2013 | 11/1/2023 | Eaton Vance Corp. Non-voting Common Stock | 4045.0000 | $31.1000 (4) | 0.0000 | D | |
| Phantom Stock (5) | $0.0000 | 3/1/2021 | | D | | | 3252.0000 | (6) | (6) | Eaton Vance Corp. Non-voting Common Stock | 3252.0000 | $73.0000 (6) | 0.0000 | D | |
| Explanation of Responses: |
| (1) | Each Deferred Stock Unit is the economic equivalent of one share of non-voting common stock. |
| (2) | This Deferred Stock Unit award, which was granted on November 2, 2020, was canceled and converted in the March 1, 2021 merger of the Issuer and Morgan Stanley (the Merger) into the right to receive a cash payment of $73 per share for a total of $180,821.00. |
| (3) | This Deferred Stock Unit award, which was granted on November 1, 2019, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $245,499.00. |
| (4) | This option award, which was granted on November 1, 2013, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $125,799.50. |
| (5) | Each Phantom Stock Unit is the economic equivalent of one share of non-voting common stock. |
| (6) | This Phantom Stock Unit award, which was granted on November 1, 2017, was canceled and converted in the Merger into the right to receive a cash payment of $73 per share for a total of $237,396.00. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BERMAN ANN 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 | | 3/2/2021 |
| **Signature of Reporting Person | Date |
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