1.
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Name of Reporting Persons.
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Estate of Gerhard J. Neumaier
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2.
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Check the Appropriate Box if a Member of a Group.
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Not Applicable.
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3.
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Securities and Exchange Commission use only.
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4.
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Citizenship or Place of Organization.
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United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH:
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5.
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Sole Voting Power
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Class A (2)
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Class B (1)
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395,881
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375,518
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6.
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Shared Voting Power
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Class A
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Class B
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-0-
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-0-
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7.
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Sole Dispositive Power
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Class A
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Class B
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20,363
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-0-
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8.
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Shared Dispositive Power (3)
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Class A
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Class B (1)
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375,518
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375,518
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9.
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Aggregate Amount Beneficially Owned by Reporting Person:
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Class A (2)
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Class B
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395,881
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375,518
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10.
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Check box if the aggregate amount in Row 9 excludes certain shares.
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□
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11.
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Percent of Class Represented by Amount in Row 9:
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Class A
Common Stock (2)
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Class B
Common Stock
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13.1%
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22.8%
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12.
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Type of Reporting Person:
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Other
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(1) | Class B Stock is convertible into Class A Stock on a one for one basis. |
(2) | Does not include 8,556 shares of Class A Common Stock owned by the late Mr. Neumaier's spouse, as to which the Estate of Mr. Neumaier disclaims beneficial ownership. Includes 20,361 shares of Class A Common Stock owned by the late Mr. Neumaier's Individual Retirement Account. Includes 2 shares of Class A Common Stock owned by a Partnership in which the late Mr. Neumaier was a general partner. |
(3) | Messrs. Gerhard J. Neumaier, Silvestro, Frank, and Strobel entered into a Stockholders' Agreement dated May 12, 1970, as amended January 24, 2011, which governs the sale of certain shares of common stock owned by them and the children of those individuals. The Agreement provides that prior to accepting a bona fide offer to purchase the certain covered part of their shares, each party must first allow the other members to the Agreement the opportunity to acquire on a pro rata basis, with right of over-allotment, all of such shares covered by the offer on the same terms and conditions proposed by the offer. |
Item 1(a):
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Name of Issuer:
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Ecology and Environment, Inc.
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Item 1(b):
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Address of Issuer's Principal Executive Offices:
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368 Pleasant View Drive
Lancaster, New York
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Item 2(a):
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Name of Person Filing:
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Estate of Gerhard J. Neumaier
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Item 2(b):
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Address of Principal Business Office:
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284 Mill Road
East Aurora, New York 14052
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Item 2(c):
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Citizenship:
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United States
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Item 2(d):
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Title of Class of Securities:
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Class A Common Stock (Class B Common Stock is convertible into Class A Stock on a one for one basis)
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Item 2(e):
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CUSIP Number:
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278878 10 3
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Item 3:
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Not Applicable
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Item 4(a):
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Amount Beneficially Owned: (1) (2) (3) (4) (5)
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Class A
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Class B
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395,881
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375,518
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Item 4(b):
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Percent of Class:
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Class A
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Class B
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13.1%
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22.8%
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Item 4(c)(i):
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Sole Power to Vote or to direct the vote -
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Class A
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Class B
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395,881
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375,518
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Item 4(c)(ii):
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Shared Power to Vote or to direct the vote -
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Class A
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Class B
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-0-
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-0-
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Item 4(c)(iii):
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Sole Power to dispose or to direct the disposition of -
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Class A
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Class B
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20,363
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-0-
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Item 4(c)(iv):
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Shared Power to dispose or to direct the disposition of -
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Class A
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Class B
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375,518
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375,518
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(1) | Class B Stock is convertible into Class A Stock on a one for one basis. |
(2) | The Filing Person is deemed to be the beneficial owner of securities that may be acquired within 60 days through the exercise of exchange or conversion rights. The shares of Class A Common Stock issuable upon conversion by any such shareholder are not included in calculating the number of shares or percentage of Class A Common Stock beneficially owned by any other shareholder. |
(3) | Messrs. Gerhard J. Neumaier, Silvestro, Frank, and Strobel entered into a Stockholders' Agreement dated May 12, 1970, as amended January 24, 2011, which governs the sale of certain shares of common stock owned by them and the children of those individuals. The Agreement provides that prior to accepting a bona fide offer to purchase the certain covered part of their shares, each party must first allow the other members to the Agreement the opportunity to acquire on a pro rata basis, with right of over-allotment, all of such shares covered by the offer on the same terms and conditions proposed by the offer. |
(4) | There are 2,646,927 shares of Class A Common Stock outstanding and 1,643,773 shares of Class B Common Stock outstanding as of December 31, 2013. |
(5) | Does not include 8,556 shares of Class A Common Stock owned by the late Mr. Neumaier's spouse, as to which the Estate of Mr. Neumaier disclaims beneficial ownership. Includes 20,361 shares of Class A Common Stock owned by the late Mr. Neumaier's Individual Retirement Account. Includes 2 shares of Class A Common Stock owned by a Partnership in which the late Mr. Neumaier was a general partner. |
Item 5:
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Ownership of Five Percent or Less of a Class:
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Not Applicable
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Item 6:
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Ownership of More than Five Percent on Behalf of Another Person:
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Not Applicable
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Item 7:
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company:
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Not Applicable
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Item 8:
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Identification and Classification of Members of the Group:
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Not Applicable
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Item 9:
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Notice of Dissolution of Group:
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Not Applicable
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Item 10:
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Certification:
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Not Applicable
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Date:
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February 13, 2014
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Signature:
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/s/ Ellen E. Neumaier, Executrix
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Name/Title:
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Estate of Gerhard J. Neumaier
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