Sec Form 4 Filing - Marius Frederick S @ EATON VANCE CORP - 2018-11-01

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
Marius Frederick S
2. Issuer Name and Ticker or Trading Symbol
EATON VANCE CORP [ EV]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Legal Officer
(Last) (First) (Middle)
TWO INTERNATIONAL PLACE, EATON VANCE
3. Date of Earliest Transaction (MM/DD/YY)
11/01/2018
(Street)
BOSTON, MA02110
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 A 8,234 ( 1 ) A $ 0 36,299 D
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 A 6,800 ( 1 ) A $ 0 43,099 D
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 F 237 ( 2 ) D $ 45.5 42,862 D
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 F 503 ( 2 ) D $ 45.5 42,359 D
Voting Trust Receipt 18,623 D
Eaton Vance Corp. Common Stock (Voting) 18,623 ( 3 ) I By Voting Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option (right to buy) $ 45.5 11/01/2018 A 28,831 ( 4 ) 11/01/2028 Eaton Vance Corp. Non-voting Common Stock 28,831 $ 0 28,831 D
Option (right to buy) $ 28.227 ( 5 ) 11/01/2022 Eaton Vance Corp. Non-voting Common Stock 8,668 8,668 D
Option (right to buy) $ 34.84 ( 6 ) 11/01/2026 Eaton Vance Corp. Non-voting Common Stock 34,600 34,600 D
Option (right to buy) $ 36.71 ( 7 ) 11/03/2024 Eaton Vance Corp. Non-voting Common Stock 24,525 24,525 D
Option (right to buy) $ 36.76 ( 8 ) 11/02/2025 Eaton Vance Corp. Non-voting Common Stock 28,602 28,602 D
Option (right to buy) $ 41.9 ( 9 ) 11/01/2023 Eaton Vance Corp. Non-voting Common Stock 12,628 12,628 D
Option (right to buy) $ 50.67 ( 10 ) 11/01/2027 Eaton Vance Corp. Non-voting Common Stock 20,840 20,840 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Marius Frederick S
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA02110
Chief Legal Officer
Signatures
Mark J. Bumann, Attorney-in-fact 11/05/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Restricted Stock Award granted under the Eaton Vance Corp. 2013 Omnibus Incentive Plan.
( 2 )Shares were withheld to cover tax liability associated with Restricted Stock Award vesting.
( 3 )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, Brian D. Langstraat, Maureen Gemma, Laurie G. Hylton, Frederick S. Marius, David C. McCabe, Payson F. Swaffield, Matthew J. Witkos, Edward J. Perkin, Daniel C. Cataldo, Cynthia J. Clemson, Scott H. Page, Michael W. Weilheimer, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami and Eric A. Stein are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
( 4 )Granted on November 1, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 5 )Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 6 )Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.( 7 )Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 8 )Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 9 )Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 10 )Granted on November 1, 2017 these options vest over a 5-year period in increments of 10%, 15%, 20%, 25%, and 30%.

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