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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) (6) | $ 24.87 | 11/01/2005 | A | 58,200 | (7) | 11/01/2015 | Eaton Vance Corp. Non-voting Common Stock | 58,200 | $ 0 | 58,200 | D | ||||
Option (right to buy) | $ 15.77 | (8) | 11/01/2006 | Eaton Vance Corp. Non-voting Common Stock | 6,974 | 6,974 | D | ||||||||
Option (right to buy) | $ 5.73 | (9) | 11/02/2006 | Eaton Vance Corp. Non-voting Common Stock | 39,560 | 39,560 | D | ||||||||
Option (right to buy) | $ 16.01 | (10) | 11/01/2007 | Eaton Vance Corp. Non-voting Common Stock | 6,872 | 6,872 | D | ||||||||
Option (right to buy) | $ 19.26 | (11) | 11/03/2008 | Eaton Vance Corp. Non-voting Common Stock | 5,710 | 5,710 | D | ||||||||
Option (right to buy) | $ 8.59 | (12) | 11/01/2009 | Eaton Vance Corp. Non-voting Common Stock | 60,000 | 60,000 | D | ||||||||
Option (right to buy) | $ 12.27 | (13) | 11/01/2010 | Eaton Vance Corp. Non-voting Common Stock | 51,848 | 51,848 | D | ||||||||
Option (right to buy) | $ 14.34 | (14) | 11/01/2011 | Eaton Vance Corp. Non-voting Common Stock | 62,426 | 62,426 | D | ||||||||
Option (right to buy) | $ 14.55 | (15) | 11/01/2012 | Eaton Vance Corp. Non-voting Common Stock | 71,528 | 71,528 | D | ||||||||
Option (right to buy) | $ 17.51 | (16) | 11/01/2013 | Eaton Vance Corp. Non-voting Common Stock | 74,890 | 74,890 | D | ||||||||
Option (right to buy) | $ 21.96 | (17) | 11/01/2014 | Eaton Vance Corp. Non-voting Common Stock | 68,400 | 68,400 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STEUL WILLIAM M THE EATON VANCE BUILDING 255 STATE STREET BOSTON, MA 021092617 |
Chief Financial Officer |
By: Katie McManus, Attorney in Fact | 11/03/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares were acquired under the 1986 Employee Stock Purchase Plan, which is a 16b-3 plan. |
(2) | All shares of the Voting Stock of Eaton Vance Corp. are deposited and held of record in a Voting Trust of which Mssrs. James B. Hawkes, Thomas E. Faust, Jr., Alan R. Dynner, William M. Steul, Wharton P. Whitaker, Thomas J. Fetter, Duncan W. Richardson, Jeffrey P. Beale, Scott H. Page, Payson F. Swaffield and Michael W. Weilheimer are the voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act. |
(3) | Adjusted to include dividend reinvestment as follows: 11/8/04 - 292 shares at $22.89; 2/14/05 - 255 shares at $26.32; 5/9/05 - 278 shares at $24.18; 8/8/05 - 275 shares at $24.53 |
(4) | Shares credited under the company's Stock Option Income Deferral Plan. |
(5) | A Voting Trust Receipt represents a share of Voting Common Stock. |
(6) | Granted under the 1998 Stock Option Plan, which is a 16b-3 plan. |
(7) | Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |
(8) | Granted on 11/1/2001 this option vests 100% on 11/1/2005. |
(9) | Granted on November 2, 1998, these options vest over 5 years starting in 1999 in increments of 12.33%, 12.33%, 19.33%, 34% and 22% respectively. |
(10) | Granted on 11/1/2002 this option vests 100% on 11/1/2006. |
(11) | Granted on 11/3/2003 this options vests 100% on 11/3/2007. |
(12) | Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. |
(13) | Granted on 11/1/2000 this options vests 23% per year on 11/1/2001, 11/1/2002, 11/1/2003, 11/1/2005 and 8% on 11/1/2004. |
(14) | Granted on 11/1/2001 this option vests 22% on 11/1/2002, 11/1/2003, 11/1/2004, 11/1/2005 and 12% on 11/1/2005 |
(15) | Granted on 11/1/2002 this option vests 22% on 11/1/2003, 11/1/2004, 11/1/2005, 11/1/2007 and 12% on 11/1/2006. |
(16) | Granted on 11/3/2003 this option vests 22% on 11/3/2004, 11/3/2005, 11/3/2006, 11/3/2008 and 12% on 11/3/2007. |
(17) | Granted on November 1, 2004 these options vest over a 5 year period at 20% per year. |
Remarks: All shares and prices have been adjusted to reflect a 2-for-1 stock split on 1/14/2005. |