- Statement of Changes in Beneficial Ownership (4)
November 03 2011 - 4:39PM
Edgar (US Regulatory)
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FORM 4
[ ]
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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Expires:
November 30, 2011
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hours per response...
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Marius Frederick S
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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)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Legal Officer
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(Last)
(First)
(Middle)
TWO INTERNATIONAL PLACE, EATON VANCE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2011
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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
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11/1/2010
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A
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V
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482.0000
(1)
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A
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$25.893
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20975.0000
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D
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Eaton Vance Corp. Non-voting Common Stock
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5/2/2011
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A
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V
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472.0000
(1)
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A
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$26.45
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29087.0000
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D
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Eaton Vance Corp. Non-voting Common Stock
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11/1/2011
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A
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6580.0000
(2)
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A
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$
0
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35667.0000
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D
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Eaton Vance Corp. Non-voting Common Stock
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11/2/2011
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S
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413.0000
(3)
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D
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$25.7309
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35254.0000
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D
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Eaton Vance Corp. Non-voting Common Stock
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11/3/2011
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S
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363.0000
(3)
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D
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$25.9457
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34891.0000
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D
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Voting Trust Receipt
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18623.0000
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D
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Eaton Vance Corp. Common Stock (Voting)
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18623.0000
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I
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By Voting Trust
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option (right to buy)
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$25.06
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11/1/2011
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A
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23220.0000
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(4)
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11/1/2021
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Eaton Vance Corp. Non-voting Common Stock
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23220.0000
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$
0
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23220.0000
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D
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Option (right to buy)
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$18.985
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(5)
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4/14/2014
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Eaton Vance Corp. Non-voting Common Stock
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8000.0000
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8000.0000
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D
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Option (right to buy)
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$21.955
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(6)
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11/1/2014
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Eaton Vance Corp. Non-voting Common Stock
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8200.0000
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8200.0000
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D
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Option (right to buy)
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$24.87
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(7)
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11/1/2015
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Eaton Vance Corp. Non-voting Common Stock
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7800.0000
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7800.0000
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D
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Option (right to buy)
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$30.11
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(8)
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11/1/2016
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Eaton Vance Corp. Non-voting Common Stock
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7500.0000
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7500.0000
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D
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Option (right to buy)
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$48.39
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(9)
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11/1/2017
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Eaton Vance Corp. Non-voting Common Stock
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8700.0000
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8700.0000
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D
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Option (right to buy)
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$29.39
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(10)
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11/1/2020
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Eaton Vance Corp. Non-voting Common Stock
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18520.0000
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18520.0000
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D
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Option (right to buy)
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$28.17
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(11)
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11/2/2019
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Eaton Vance Corp. Non-voting Common Stock
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20500.0000
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20500.0000
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D
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Option (right to buy)
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$21.99
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(12)
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11/3/2018
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Eaton Vance Corp. Non-voting Common Stock
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23800.0000
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23800.0000
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D
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Explanation of Responses:
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(
1)
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These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan.
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(
2)
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Restricted Stock Award granted under the 2008 Omnibus Incentive Plan
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(
3)
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These shares were sold to cover the tax liability associated with a restricted stock vesting event.
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(
4)
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Granted on November 1, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, an 30%.
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(
5)
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Granted on April 14, 2004 these options vest over a 5 year period at 20% per year.
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(
6)
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Granted on November 1, 2004 these options vest over a 5 year period at 20% per year.
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(
7)
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Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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(
8)
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Granted on November 1, 2006 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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(
9)
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Granted on November 1, 2007 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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(
10)
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These options were granted on November 1, 2010 and vest over a 5 year period in increments of 10%,15%,20%,25% and 30%.
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(
11)
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Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
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(
12)
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Granted on November 3, 2008 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Marius Frederick S
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA 02110
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Chief Legal Officer
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Signatures
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Victoria Crane, Attorney-in-fact
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11/3/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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