Sec Form 4 Filing - Langstraat Brian D. @ 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
Langstraat Brian D.
2. Issuer Name and Ticker or Trading Symbol
EATON VANCE CORP [ EV]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(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 34,890 ( 1 ) A $ 0 159,632 D
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 A 6,527 ( 1 ) A $ 0 166,159 D
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 A 4,215 ( 1 ) A $ 0 170,374 D
Eaton Vance Corp. Non-voting Common Stock 11/01/2018 F 6,801 ( 2 ) D $ 0 163,573 D
Voting Trust Receipt 27,854 D
Eaton Vance Corp. Common Stock (Voting) 27,854 ( 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 171,759 ( 4 ) 11/01/2028 Eaton Vance Corp. Non-voting Common Stock 171,759 $ 0 171,759 D
Option (right to buy) $ 24.4596 ( 5 ) 11/01/2021 Eaton Vance Corp. Non-voting Common Stock 20,799 20,799 D
Option (right to buy) $ 27.4951 ( 6 ) 11/02/2019 Eaton Vance Corp. Non-voting Common Stock 17,582 17,582 D
Option (right to buy) $ 28.2271 ( 7 ) 11/01/2022 Eaton Vance Corp. Non-voting Common Stock 16,475 16,475 D
Option (right to buy) $ 28.6858 ( 8 ) 11/01/2020 Eaton Vance Corp. Non-voting Common Stock 17,643 17,643 D
Option (right to buy) $ 34.84 ( 9 ) 11/01/2026 Eaton Vance Corp. Non-voting Common Stock 190,960 190,960 D
Option (right to buy) $ 36.71 ( 10 ) 11/03/2024 Eaton Vance Corp. Non-voting Common Stock 54,500 54,500 D
Option (right to buy) $ 36.76 ( 11 ) 11/02/2025 Eaton Vance Corp. Non-voting Common Stock 149,020 149,020 D
Option (right to buy) $ 41.9 ( 12 ) 11/01/2023 Eaton Vance Corp. Non-voting Common Stock 16,620 16,620 D
Option (right to buy) $ 50.67 ( 13 ) 11/01/2027 Eaton Vance Corp. Non-voting Common Stock 131,320 131,320 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Langstraat Brian D.
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA02110
X
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, 2011 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 6 )Granted on November 2, 2009, these options vest over a 5 year period in increments of 10%, 15%, 20,%, 25% and 30%.
( 7 )Granted on November 1, 2012 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 8 )Granted on November 1, 2010, these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 9 )Granted on November 1, 2016 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 10 )Granted on November 3, 2014 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 11 )Granted on November 2, 2015 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25% and 30%.
( 12 )Granted on November 1, 2013 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 13 )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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