EATON VANCE CORP. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-03-01: Reporting owner SMITH WINTHROP H JR; Form 4; Security Deferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-03-01: Reporting owner Witkos Matthew J; Form 4; Security Voting Trust Receipt; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-03-01: Reporting owner HIGDON LEO I JR; Form 4; Security Deferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-03-01: Reporting owner Spillane Richard A Jr.; Form 4; Security Deferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-03-01 | SMITH WINTHROP H JR Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,372 0 owned after | $73.00 | 2021-03-03 | |
| 2021-03-01 | Witkos Matthew J Other (Pres & CEO EV Distributors Inc) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,623 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | HIGDON LEO I JR Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,840 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | Spillane Richard A Jr. Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,372 0 owned after | $73.00 | 2021-03-03 | |
| 2021-03-01 | HYLTON LAURIE G Officer (Chief Financial Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,623 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | PUHY DOROTHY E Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,372 0 owned after | $73.00 | 2021-03-03 | |
| 2021-03-01 | Cataldo Daniel C. Officer (Chief Administrative Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,623 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | Marius Frederick S Officer (Chief Legal Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −18,623 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | FAUST THOMAS E JR Director, Officer (CEO) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −74,277 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | Langstraat Brian D. Director | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,854 0 owned after | $0.00 | 2021-03-03 | |
| 2021-03-01 | Johnson Paula A Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,840 0 owned after | $73.00 | 2021-03-03 | |
| 2021-03-01 | BERMAN ANN E Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,477 0 owned after | $73.00 | 2021-03-03 | |
| 2021-03-01 | BERMAN ANN E Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,363 0 owned after | $73.00 | 2021-03-03 | |
| 2021-02-26 holding as of filing | Witkos Matthew J Other (Pres & CEO EV Distributors Inc) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-26 | |
| 2021-02-26 holding as of filing | Langstraat Brian D. Director | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 27,854 owned after | no price filed | 2021-02-26 | |
| 2021-02-26 holding as of filing | Cataldo Daniel C. Officer (Chief Administrative Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-26 | |
| 2021-02-26 holding as of filing | FAUST THOMAS E JR Director, Officer (CEO) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 74,277 owned after | no price filed | 2021-02-26 | |
| 2021-02-26 holding as of filing | Marius Frederick S Officer (Chief Legal Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-26 | |
| 2021-02-17 holding as of filing | FAUST THOMAS E JR Director, Officer (CEO) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 74,277 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | Witkos Matthew J Other (Pres & CEO EV Distributors Inc) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | Marius Frederick S Officer (Chief Legal Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | Langstraat Brian D. Director | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 27,854 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | Cataldo Daniel C. Officer (Chief Administrative Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-17 | |
| 2021-02-12 | Johnson Paula A Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31 5,840 owned after | $0.00 | 2021-02-16 | |
| 2021-02-12 | Spillane Richard A Jr. Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50 9,372 owned after | $0.00 | 2021-02-16 | |
| 2021-02-12 | HIGDON LEO I JR Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31 5,840 owned after | $0.00 | 2021-02-16 | |
| 2021-02-12 | PUHY DOROTHY E Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50 9,372 owned after | $0.00 | 2021-02-16 | |
| 2021-02-12 | SMITH WINTHROP H JR Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50 9,372 owned after | $0.00 | 2021-02-16 | |
| 2021-02-12 | BERMAN ANN E Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13 2,477 owned after | $0.00 | 2021-02-16 | |
| 2021-02-12 | BERMAN ANN E Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18 3,363 owned after | $0.00 | 2021-02-16 | |
| 2021-02-02 holding as of filing | Cataldo Daniel C. Officer (Chief Administrative Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-02-02 | |
| 2021-01-15 holding as of filing | Marius Frederick S Officer (Chief Legal Officer) | 4 | Voting Trust Receipt Non-derivative · Direct · (m) | Holding | 18,623 owned after | no price filed | 2021-01-15 |