0001209191-12-059591.txt : 20121228 0001209191-12-059591.hdr.sgml : 20121228 20121228122020 ACCESSION NUMBER: 0001209191-12-059591 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121227 FILED AS OF DATE: 20121228 DATE AS OF CHANGE: 20121228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Neumaier Kevin S CENTRAL INDEX KEY: 0001441450 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09065 FILM NUMBER: 121289654 MAIL ADDRESS: STREET 1: 368 PLEASANT VIEW DRIVE CITY: LANCASTER STATE: NY ZIP: 14086 ISSUER: 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 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2012-12-27 0 0000809933 ECOLOGY & ENVIRONMENT INC EEI 0001441450 Neumaier Kevin S 368 PLEASANT VIEW DRIVE LANCASTER NY 14086 0 1 0 0 President Class B Common Stock 114878 D Class A Common Stock 2 I By general partnership Class A Common Stock 1120 I By 401K Plan Class A Common Stock 2012-12-27 4 P 0 500 11.74 A 2500 D Class A Common Stock 2012-12-27 4 P 0 500 11.845 A 3000 D Class A Common Stock 2313 D Class A Common Stock 1088 D Class A Common Stock 1423 I By wife Class A Common Stock 316 I By wife Class A Common Stock 504 I By wife Class A Common Stock 588 I By wife Class A Common Stock 3400 I As custondian for minor children Class B Common Stock is convertible one-for-one into Class A Common Stock Certain of the reporting person's shares of Class B Common Stock are subject to an Agreement dated May 12, 1970 among Messrs. Gerhard J. Neumaier, Frank B. Silvestro, Gerald A. Strobel and Ronald L. Frank, whereby none of the shares subject to the Agreement may be sold without the seller first granting the others a right of first refusal. In addition, certain of the shares of Class B Common Stock owned by cerain members of the families of the four signatories to that agreement and a former spouse are subject to this right of first refusal. This is not an admission that the reporting person is the beneficial owner of the shares held in the name of others. Previously filed Form 4s by the Reporting Person in 2008 and 2009 incorrectly indicated the number of shares owned by the Reportying Person's wife. Total number of shares owned by the general partnership The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Award of Class A Common Stock pursuant to the 2003 Ecology and Environment Inc. Stock Award Plan. The reporting person disclaims beneficial ownership of these securities owned by his wife Award of Class A Common Stock pursuant to the 2007 Ecology and Environment Inc. Stock Award Plan. The Reporting Person disclaims beneficial ownership of the shares that he holds as custodian for the benefit of his minor children. Kevin S. Neumaier 2012-12-28