Form Type: 4

SEC EDGAR Link
Accession Number:0001225208-19-015158
Date:2019-12-02
Issuer: EATON VANCE CORP (EV)
Original Submission Date:

Reporting Person:

BERMAN ANN E
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 2019-12-02 M 11,777 a $34.84 11,777 direct
EATON VANCE CORP. NON-VOTING COMMON STOCK 2019-12-02 S 11,777 d $47.26 0 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
OPTION (RIGHT TO BUY) 34.84 2019-12-02 deemed execution date M 11,777 (d) 2016-11-01 2026-11-01 eaton vance corp. non-voting common stock 11,777 $34.84 0 direct
DEFERRED STOCK 0.0 deemed execution date 0 ( ) 2020-11-01 2020-11-01 eaton vance corp. non-voting common stock 3,188 $0.00 3,188 direct
DEFERRED STOCK 0.0 deemed execution date 0 ( ) 2021-11-01 2021-11-01 eaton vance corp. non-voting common stock 3,034 $0.00 3,034 direct
OPTION (RIGHT TO BUY) 41.9 deemed execution date 0 ( ) 2013-11-01 2023-11-01 eaton vance corp. non-voting common stock 4,045 $41.90 4,045 direct
PHANTOM STOCK 0.0 deemed execution date 0 ( ) eaton vance corp. non-voting common stock 2,935 $0.00 2,935 direct
Footnotes
IDfootnote
f1 each share of deferred stock is the economic equivalent of one share of non-voting common stock.
f2 each share of phantom stock is the economic equivalent of one share of non-voting common stock.
f3 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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