Sec Form 4 Filing - Witkos Matthew J @ EATON VANCE CORP - 2020-12-18

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
Witkos Matthew J
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
_____ Officer (give title below) X __ Other (specify below)
Pres & CEO EV Distributors Inc
(Last) (First) (Middle)
TWO INTERNATIONAL PLACE, EATON VANCE
3. Date of Earliest Transaction (MM/DD/YY)
12/18/2020
(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 12/18/2020 G V 3,832 D $ 0 204,007.8408 D
Voting Trust Receipt 18,623 D
Eaton Vance Corp. Non-voting Common Stock 344 I By Trust
Eaton Vance Corp. Common Stock (Voting) 18,623 ( 1 ) 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
Restricted Stock Unit ( 2 ) $ 0 12/18/2020 A 1,977.82 ( 3 ) ( 4 ) ( 4 ) Eaton Vance Corp. Non-voting Common Stock 1,977.82 $ 0 32,361.82 D
Option (right to buy) $ 28.227 ( 5 ) 11/01/2022 Eaton Vance Corp. Non-voting Common Stock 33,411 33,411 D
Option (right to buy) $ 34.84 ( 6 ) 11/01/2026 Eaton Vance Corp. Non-voting Common Stock 127,340 127,340 D
Option (right to buy) $ 36.71 ( 7 ) 11/03/2024 Eaton Vance Corp. Non-voting Common Stock 108,580 108,580 D
Option (right to buy) $ 36.76 ( 8 ) 11/02/2025 Eaton Vance Corp. Non-voting Common Stock 105,220 105,220 D
Option (right to buy) $ 41.9 ( 9 ) 11/01/2023 Eaton Vance Corp. Non-voting Common Stock 91,760 91,760 D
Option (right to buy) $ 45.5 ( 10 ) 11/01/2028 Eaton Vance Corp. Non-voting Common Stock 106,520 106,520 D
Option (right to buy) $ 46.15 ( 11 ) 11/01/2029 Eaton Vance Corp. Non-voting Common Stock 111,876 111,876 D
Option (right to buy) $ 50.67 ( 12 ) 11/01/2027 Eaton Vance Corp. Non-voting Common Stock 79,660 79,660 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Witkos Matthew J
TWO INTERNATIONAL PLACE
EATON VANCE
BOSTON, MA02110
Pres & CEO EV Distributors Inc
Signatures
Mark J. Bumann, Attorney-in-fact 12/22/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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, James H. Evans, Charles B. Reed, R. Kelly Williams, Craig P. Russ, John L. Shea, Lewis R. Piantedosi, Craig R. Brandon, Michael A. Cirami, Eric A. Stein, Andrew N. Sveen, Paul W. Bouchey, John Streur, Thomas B. Lee and Thomas C. Seto are the Voting Trustees. The Voting Common Stock is not registered under Section 12 of the Securities Exchange Act.
( 2 )Each Restricted Stock Unit represents the right to receive one share of Non-Voting Stock
( 3 )As dividends are paid with respect to Company Non-Voting Common Stock, a dividend equivalent will be credited with respect to the Participants Restricted Stock Unit Award outstanding on the dividend record date and reinvested in the form of additional Restricted Stock Units.
( 4 )Granted on November 2, 2020 these units vest 50% on 11/02/2022 and 50% on 11/02/2023
( 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, 2018 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 11 )Granted on November 1, 2019 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%.
( 12 )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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