- Initial Statement of Beneficial Ownership (3)
January 19 2012 - 3:03PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SWAFFIELD PAYSON F
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/11/2012
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3. Issuer Name
and
Ticker or Trading Symbol
EATON VANCE CORP [EV]
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(Last)
(First)
(Middle)
255 STATE STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
___
X
___ Other (specify below)
/ Chief Income Officer
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(Street)
BOSTON, MA 02109
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Eaton Vance Corp. Non-voting Common Stock
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398108.0000
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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
(1)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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(2)
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11/1/2012
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Eaton Vance Corp. Non-voting Common Stock
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134328.0000
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$14.5500
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D
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Option (right to buy)
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(3)
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11/3/2013
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Eaton Vance Corp. Non-voting Common Stock
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130690.0000
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$17.5100
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D
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Option (right to buy)
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(4)
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11/1/2014
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Eaton Vance Corp. Non-voting Common Stock
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132046.0000
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$21.9550
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D
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Option (right to buy)
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(5)
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11/3/2018
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Eaton Vance Corp. Non-voting Common Stock
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71400.0000
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$21.9900
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D
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Option (right to buy)
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(6)
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11/1/2015
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Eaton Vance Corp. Non-voting Common Stock
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109580.0000
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$24.8700
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D
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Option (right to buy)
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(7)
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11/1/2021
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Eaton Vance Corp. Non-voting Common Stock
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139320.0000
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$25.0600
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D
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Option (right to buy)
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(8)
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11/2/2019
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Eaton Vance Corp. Non-voting Common Stock
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60760.0000
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$28.1700
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D
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Option (right to buy)
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(9)
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11/1/2020
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Eaton Vance Corp. Non-voting Common Stock
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83720.0000
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$29.3900
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D
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Option (right to buy)
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(10)
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11/1/2016
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Eaton Vance Corp. Non-voting Common Stock
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105400.0000
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$30.1100
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D
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Option (right to buy)
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(11)
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11/1/2017
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Eaton Vance Corp. Non-voting Common Stock
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73300.0000
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$48.3900
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D
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Explanation of Responses:
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(
1)
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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, Duncan Richardson, Jeffrey P. Beale, David C. McCabe, Payson F. Swaffield, Robert J. Whelan, Matthew J. Witkos, Maureen Gemma, Frederick S. Marius, Cynthia Clemson, Michael R. Mach, Thomas M. Metzold, Scott H. Page, Judith R. Saryan, Michael Weilheimer, Walter Row, Mark Venezia, David Stein, and Brian Langstraat are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
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(
2)
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Granted on November 1, 2002, these options vest over a 5 year period at 20% per year.
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(
3)
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Granted on November 3, 2003, these options vest over a 5 year period at 20% per year.
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(
4)
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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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(
5)
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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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(
6)
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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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(
7)
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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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(
8)
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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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(
9)
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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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(
10)
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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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(
11)
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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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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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SWAFFIELD PAYSON F
255 STATE STREET
BOSTON, MA 02109
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Chief Income Officer
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Signatures
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Victoria Crane, Attorney-in-fact
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1/19/2012
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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 5(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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