EATON VANCE CORP. (NYSE:EV) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02
Certain Officers; Compensatory Arrangements of Certain Officers.
On January 10, 2019 the Board of Directors of Eaton Vance Corp. (the “Company”), and on January 16, 2019 the holders of voting common stock of the Company (“Voting Stockholders”), approved the Eaton Vance Corp. 2013 Incentive Compensation Nonqualified Employee Stock Purchase Plan, as amended and restated (the “Plan”).
The Plan provides employees, including officers, of the Company and its subsidiaries with opportunities to apply up to fifty percent (50%) of their “Non-Base Compensation” (as defined in the Plan) to purchase shares of the Company’s non-voting common stock in accordance with the terms therein. The Plan was amended and restated to increase the number shares of the Company’s non-voting common stock issuable from 600,000 shares to 900,000 shares. Accordingly, subject to adjustment in the event of stock splits, stock dividends or similar events, grants may now be made under the Plan for up to a total of 900,000 shares of the Company’s non-voting common stock.
The description of the Plan is qualified in its entirety by the actual plan document, a copy of which is filed as Exhibit 10.1 to this Current Report on Form 8-K.
| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
An annual meeting of the Voting Stockholders of the Company was held on January 10, 2019. All of the 422,935 outstanding shares of the Company’s voting common stock were represented in person or by proxy at the meeting.
The following matters received the affirmative vote of all of the outstanding voting common stock and were approved:
- The minutes of the previous annual meeting of Voting Stockholders held on January 10, 2018.
- The annual report to shareholders of the Company for the fiscal year ended October 31, 2018.
- The election of the following individuals as directors to hold office until the next annual meeting and until their successors are elected and qualify:
Ann E. Berman Thomas E. Faust Jr.
Leo I. Higdon, Jr.
Brian D. Langstraat Dorothy E. Puhy
Winthrop H. Smith, Jr.
Richard A. Spillane, Jr.
Paula A. Johnson
- The selection of the firm Deloitte & Touche LLP as the independent registered public accounting firm of the Company for its fiscal year ending October 31, 2019.
- The ratification of the acts of the Board of Directors since the previous annual meeting of Voting Stockholders held on January 10, 2018.
On January 16, 2019, the Company’s Voting Stockholders approved the Plan (as described above under Item 5.02) by unanimous written consent.
| Item 9.01 | Financial Statements and Exhibits |
Exhibit No. Document
EATON VANCE CORP Exhibit
EX-10.1 2 exhibit.htm EVC 8K INCENTIVE NONQUALIFIED ESPP AND PROXY Eaton Vance Corp. 2013 INCENTIVE COMPENSATION NONQUALIFIED EMPLOYEE STOCK PURCHASE PLAN October 4,…
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About EATON VANCE CORP. (NYSE:EV)
Eaton Vance Corp. is engaged in business of managing investment funds and providing investment management and advisory services to individuals and institutions. The Company seeks to develop and sustain management expertise across a range of investment disciplines, and offer investment products and services through various distribution channels. It operates through investment adviser to funds and separate accounts segment. The Company, through its subsidiaries, Eaton Vance Management and Atlanta Capital Management, LLC, and other affiliates, manages active equity, income and alternative strategies across a range of investment styles and asset classes, including the United States and global equities, floating-rate bank loans, municipal bonds, high-yield and investment grade bonds. Through its subsidiary, Parametric Portfolio Associates LLC, it manages a range of engineered alpha strategies, including systematic equity, systematic alternatives and managed options strategies.
