1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Option (right to buy)
(1)
|
Â
(2)
|
11/02/2006 |
Eaton Vance Corp. Non-voting Common Stock
|
100,000
|
$
5.73
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(3)
|
11/01/2009 |
Eaton Vance Corp. Non-voting Common Stock
|
72,000
|
$
8.59
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(4)
|
11/01/2010 |
Eaton Vance Corp. Non-voting Common Stock
|
200,000
|
$
12.27
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(5)
|
11/01/2011 |
Eaton Vance Corp. Non-voting Common Stock
|
250,000
|
$
14.34
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(6)
|
11/01/2012 |
Eaton Vance Corp. Non-voting Common Stock
|
282,600
|
$
14.55
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(7)
|
11/03/2013 |
Eaton Vance Corp. Non-voting Common Stock
|
273,000
|
$
17.51
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(8)
|
11/01/2014 |
Eaton Vance Corp. Non-voting Common Stock
|
259,600
|
$
21.96
|
D
|
Â
|
Option (right to buy)
(1)
|
Â
(9)
|
11/01/2015 |
Eaton Vance Corp. Non-voting Common Stock
|
210,500
|
$
24.87
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Granted under the 1998 Stock Option Plan, which is a 16b-3 plan. |
(2) |
Granted on November 2, 1998, these options vest over a 4 year period at 25% per year. |
(3) |
Granted on November 1, 1999, these options vest over a 5 year period at 20% per year. |
(4) |
Granted on November 1, 2000, these options vest over a 5 year period at 20% per year. |
(5) |
Granted on November 1, 2001, these options vest over a 5 year period at 20% per year. |
(6) |
Granted on November 1, 2002, these options vest over a 5 year period at 20% per year. |
(7) |
Granted on November 3, 2003, these options vest over a 5 year period at 20% per year. |
(8) |
Granted on November 1, 2004 these options vest over a 5 year period at 20% per year. |
(9) |
Granted on November 1, 2005 these options vest over a 5 year period in increments of 10%, 15%, 20%, 25%, and 30%. |