1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Option (right to buy)
(3)
|
Â
(4)
|
11/02/2006 |
Eaton Vance Corp. Non-voting Common Stock
|
100,000
|
$
5.73
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(5)
|
11/01/2009 |
Eaton Vance Corp. Non-voting Common Stock
|
72,000
|
$
8.59
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(6)
|
11/01/2010 |
Eaton Vance Corp. Non-voting Common Stock
|
200,000
|
$
12.27
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(7)
|
11/01/2011 |
Eaton Vance Corp. Non-voting Common Stock
|
250,000
|
$
14.34
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(8)
|
11/01/2012 |
Eaton Vance Corp. Non-voting Common Stock
|
282,600
|
$
14.55
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(9)
|
11/03/2013 |
Eaton Vance Corp. Non-voting Common Stock
|
273,000
|
$
17.51
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(10)
|
11/01/2014 |
Eaton Vance Corp. Non-voting Common Stock
|
259,600
|
$
21.96
|
D
|
Â
|
Option (right to buy)
(3)
|
Â
(11)
|
11/01/2015 |
Eaton Vance Corp. Non-voting Common Stock
|
210,500
|
$
24.87
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
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. |
(2) |
A Voting Trust Receipt represents a share of Voting Common Stock. |
(3) |
Granted under the 1998 Stock Option Plan, which is a 16b-3 plan. |
(4) |
Granted on November 2, 1998, these options vest over a 4 year period at 25% per year. |
(5) |
Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. |
(6) |
Granted on November 1, 2000, these options vest over a 5 year period at 20% per year. |
(7) |
Granted on November 1, 2001, these options vest over a 5 year period at 20% per year. |
(8) |
Granted on November 1, 2002, these options vest over a 5 year period at 20% per year. |
(9) |
Granted on November 3, 2003, these options vest over a 5 year period at 20% per year. |
(10) |
Granted on November 1, 2004 these options vest over a 5 year period at 20% per year. |
(11) |
Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |