Form Type: 4

SEC EDGAR Link
Accession Number:0001225208-19-002736
Date:2019-02-15
Issuer: EATON VANCE CORP (EV)
Original Submission Date:

Reporting Person:

HIGDON LEO I JR
TWO INTERNATIONAL PLACE
EATON VANCE BOSTON, MA 02110

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
EATON VANCE CORP. NON-VOTING COMMON STOCK 2019-02-15 0 $0.00 4,021 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
DEFERRED STOCK 0.0 2019-02-15 deemed execution date A 30 (a) 2020-11-01 2020-11-01 eaton vance corp. non-voting common stock 30 $0.00 3,107 direct
PHANTOM STOCK 0.0 2019-02-15 deemed execution date A 27 (a) eaton vance corp. non-voting common stock 27 $0.00 2,860 direct
OPTION (RIGHT TO BUY) 24.4595 2019-02-15 deemed execution date 0 ( ) 2011-11-01 2021-11-01 eaton vance corp. non-voting common stock 6,420 $24.46 6,420 direct
OPTION (RIGHT TO BUY) 27.495 2019-02-15 deemed execution date 0 ( ) 2009-11-02 2019-11-02 eaton vance corp. non-voting common stock 4,883 $27.50 4,883 direct
OPTION (RIGHT TO BUY) 28.227 2019-02-15 deemed execution date 0 ( ) 2012-11-01 2022-11-01 eaton vance corp. non-voting common stock 5,680 $28.23 5,680 direct
OPTION (RIGHT TO BUY) 28.6858 2019-02-15 deemed execution date 0 ( ) 2010-11-01 2020-11-01 eaton vance corp. non-voting common stock 4,902 $28.69 4,902 direct
OPTION (RIGHT TO BUY) 34.84 2019-02-15 deemed execution date 0 ( ) 2016-11-01 2026-11-01 eaton vance corp. non-voting common stock 11,777 $34.84 11,777 direct
OPTION (RIGHT TO BUY) 36.71 2019-02-15 deemed execution date 0 ( ) 2014-11-03 2024-11-03 eaton vance corp. non-voting common stock 5,737 $36.71 5,737 direct
OPTION (RIGHT TO BUY) 36.76 2019-02-15 deemed execution date 0 ( ) 2015-11-02 2025-11-02 eaton vance corp. non-voting common stock 7,451 $36.76 7,451 direct
OPTION (RIGHT TO BUY) 41.9 2019-02-15 deemed execution date 0 ( ) 2013-11-01 2023-11-01 eaton vance corp. non-voting common stock 4,045 $41.90 4,045 direct
Footnotes
IDfootnote
f1 each share of deferred stock is the economic equivalent of one share of non-voting common stock.
f2 as dividends are paid with respect to company non-voting common stock, a number of units of deferred stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee director with respect to each unit of deferred stock awarded at the time such dividends are paid to the stock holders of the company.
f3 the shares of deferred stock granted on november 1, 2018 become payable in cash based on the non-employee director's election at either (1) the earlier of the second anniversary of the grant date or the date of the non-employee director's termination, or (2) upon the non-employee director's termination.
f4 each share of phantom stock is the economic equivalent of one share of non-voting common stock.
f5 as dividends are paid with respect to company non-voting common stock, a number of units of phantom stock with a current value equal to the amount of the dividend will be allocated to the account of each non-employee director with respect to each unit of phantom stock awarded at the time such dividends are paid to the stock holders of the company.
f6 the shares of phantom stock granted on november 1, 2017 become payable in cash upon the non-employee director's termination.
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