-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ulor2L1U+mep7UyResjmt7u/YotSmOZRSA1+A8YyCuS0Qpyx3NV298tT1Y0ovWJQ /MqkevrvmjiPnYY8vaCkEg== 0001029574-98-000042.txt : 19981201 0001029574-98-000042.hdr.sgml : 19981201 ACCESSION NUMBER: 0001029574-98-000042 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981130 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ECOLOGY & ENVIRONMENT INC CENTRAL INDEX KEY: 0000809933 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING SERVICES [8711] IRS NUMBER: 160971022 STATE OF INCORPORATION: NY FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-39143 FILM NUMBER: 98761151 BUSINESS ADDRESS: STREET 1: 368 PLEASANTVIEW DR CITY: LANCASTER STATE: NY ZIP: 14086 BUSINESS PHONE: 7166848060 MAIL ADDRESS: STREET 1: 368 PLEASANTVIEW DRIVE CITY: LANCASTER STATE: NY ZIP: 14086 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAMERON BAIRD FOUNDATION CENTRAL INDEX KEY: 0001003080 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1350 ONE M & T PLAZA CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168456000 MAIL ADDRESS: STREET 1: C/O KAYINOKY & COOK STREET 2: 120 DELAWARE AVE CITY: BUFFALO STATE: NY ZIP: 14202 SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 18)* Under the Securities Exchange Act of 1934 ECOLOGY AND ENVIRONMENT, INC. _________________________________________________________________ (Name of Issuer) Class A Common Stock - Par Value $.01 per share _________________________________________________________________ (Title of Class of Securities 278878-10-3 ____________________________ (CUSIP Number) Brent D. Baird 1350 One M&T Plaza Buffalo, New York 14203 (Phone: (716) 849-1484) _________________________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) NOVEMBER 16, 1998 _______________________ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d- 1(b)(3) or (4), check the following box __. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D Amendment No. 18 CUSIP NO. 278878-10-3 1. Name of Reporting Person SS or IRS Identification No. of above person (optional) First Carolina Investors, Inc. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)___ (b)_X_ 3. SEC USE ONLY 4. SOURCE OF FUNDS* WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ____ 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES 7. SOLE VOTING POWER BENEFICIALLY OWNED 425,000 BY EACH REPORTING PERSON WITH 8. SHARED VOTING POWER -0- 9. SOLE DISPOSITIVE POWER 425,000 10. SHARED DISPOSITIVE POWER -0- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 425,000 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* ____ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.445% 14. TYPE OF REPORTING PERSON* CO, IV *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D Amendment No. 18 CUSIP NO. 278878-10-3 1. Name of Reporting Person SS or IRS Identification No. of above person (optional) Bridget B. Baird, as successor trustee under an agreement dated 12/23/38 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)___ (b)_X_ 3. SEC USE ONLY 4. SOURCE OF FUNDS* PF 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ____ 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York NUMBER OF SHARES 7. SOLE VOTING POWER BENEFICIALLY OWNED 14,500 BY EACH REPORTING PERSON WITH 8. SHARED VOTING POWER -0- 9. SOLE DISPOSITIVE POWER 14,500 10. SHARED DISPOSITIVE POWER -0- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,500 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* ____ 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.663% 14. TYPE OF REPORTING PERSON* OO *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D Amendment No. 18 INTRODUCTION The acquisition of 670,600 shares ("Shares") of Class A Common Stock of the Issuer was previously reported by the Reporting Persons in Schedule 13D, as amended, filed with the Securities and Exchange Commission. The most recent Amendment, Schedule 13D Amendment No. 17, was filed with the Securities and Exchange Commission on September 4, 1998 ("Amendment No. 17"). Since the filing of Amendment No. 17, one of the Reporting Persons (First Carolina Investors, Inc.) and one new Reporting Person (Bridget B. Baird, as Successor Trustee under an agreement dated 12/23/38) have purchased Shares of Class A common stock. The number of Shares of Class A common stock now held by the Reporting Persons is 699,500 Shares. The Cover Pages for First Carolina Investors, Inc. and Bridget B. Baird, Successor Trustee are hereby amended as shown in this Amendment No. 18. Items 2, 3 and 5 are hereby amended as shown in this Amendment No. 18. All other Items remain unchanged from the previous filings of Schedule 13D, as amended. NOTE: THE EXECUTION AND SUBMISSION OF THIS STATEMENT BY THE REPORTING PERSONS SHALL NOT BE CONSTRUED AS A STATEMENT OR ADMISSION THAT THE REPORTING PERSONS (I) ARE ACTING AS A GROUP IN THE ACQUISITION OF THE SHARES, (II) COLLECTIVELY CONSTITUTE A "PERSON" WITHIN THE MEANING OF SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE "ACT"), OR (III) FOR THE PURPOSES OF SECTION 13(D) OF THE ACT, ARE THE BENEFICIAL OWNERS OF ANY SHARES OTHER THAN THE SHARES IN WHICH EACH PERSON IS SPECIFICALLY IDENTIFIED IN THIS STATEMENT TO HAVE A BENEFICIAL INTEREST. ITEM 2. IDENTITY AND BACKGROUND. Item 2 is hereby amended to add the following: (4) BRIDGET B. BAIRD, AS SUCCESSOR TRUSTEE UNDER AN AGREEMENT DATED 12/23/38 ("BRIDGET B. BAIRD, SUCCESOR TRUSTEE") (a) Bridget B. Baird (b) 28 Old Mill Road Quaker Hill, CT 06375 (c) Professor, Connecticut College, New London, CT (d) No (e) No (f) U.S.A. ITEM 3. SOURCE AND AMOUNT OF FUNDS. Item 3 is hereby amended to add the following: The amount of funds paid for the Shares of Class A common stock by First Carolina Investors, Inc. was approximately $136,631 (which includes only the amount of funds paid since the filing of Amendment No. 17). This amount does not include brokerage commissions. The source of funds used for purchases by Bridget B. Baird, Successor Trustee, are personal funds. Bridget B. Baird, Successor Trustee did not borrow any funds to acquire such Shares. The amount of funds paid for the Shares of Class A common stock was approximately $145,075, which does not include brokerage commissions. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended to read as follows: (a) The Reporting Persons hereby report beneficial ownership, in the manner hereinafter described, of 699,500 Shares of Class A common stock:
Percentage of Number Of Outstanding Shares Held in the Name of Shares Security (1) Brent D. Baird 10,000 0.458% The Cameron Baird Foundation 250,000 11.438% First Carolina Investors, 425,000 19.445% Inc. Bridget B. Baird, Successor Trustee (2) 14,500 0.663% _______ ______ TOTAL 699,500 32.004%
(1) The foregoing percentages assume that the number of Class A Common Shares of the Issuer outstanding is 2,185,692 Shares. As set forth in the Issuer's 10-K for the year ending July 31, 1998, the number of Class A Common Shares outstanding as of September 30, 1998 is 2,185,692 Shares. (2) The income beneficiary of said trust is Jane D. Baird. The remainder beneficiaries of said trust are the issue of Jane D. Baird. (b) For each person named in paragraph (a), that person has sole voting and sole dispositive power over the Shares enumerated in paragraph (a). (c) The following purchases of the Shares of Class A common stock were effected during the past sixty days:
Price/Share (in Dollars Commissions Purchase In The Number of not Transaction Name Of Date Shares included) Made Through First Carolina Investors, Inc. 10/12/98 700 9 1/2 Fahnestock & Co 10/13/98 500 9 1/2 Fahnestock & Co 10/15/98 100 9 3/8 Fahnestock & Co 10/16/98 500 9 3/8 Fahnestock & Co 10/26/98 500 9 3/16 Fahnestock & Co 10/27/98 1,200 9 1/4 Fahnestock & Co 11/3/98 200 9 1/4 Fahnestock & Co 11/4/98 1,200 9 1/4 Fahnestock & Co 11/6/98 500 9 1/4 Fahnestock & Co 11/9/98 600 9 7/16 Fahnestock & Co 11/9/98 1,400 9 1/2 Fahnestock & Co 11/10/98 2,000 9 7/16 Fahnestock & Co 11/10/98 2,000 9 1/2 Fahnestock & Co 11/10/98 1,000 9 5/8 Fahnestock & Co 11/11/98 2,000 9 15/16 Fahnestock & Co Bridget B. 11/13/98 4,000 9 15/16 Fahnestock & Co Baird, 11/16/98 8,400 10 Fahnestock & Co Successor 11/18/98 500 10 Fahnestock & Co Trustee 11/20/98 600 10 1/8 Fahnestock & Co 11/23/98 800 10 1/4 Fahnestock & Co 11/24/98 200 10 1/4 Fahnestock & Co
(d) Not applicable (e) Not applicable SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. DATED this 30th day of November, 1998. First Carolina Investors, Inc. By: s/Brent D. Baird Brent D. Baird, Chairman Bridget B. Baird, Successor Trustee By: s/Brian D. Baird Brian D. Baird, as attorney-in-fact -----END PRIVACY-ENHANCED MESSAGE-----