Ecology & Environment Inc - Statement of Changes in Beneficial Ownership (4)
12 Février 2008 - 9:36PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
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January 31, 2008
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
FRANK RONALD L
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2. Issuer Name
and
Ticker or Trading Symbol
ECOLOGY & ENVIRONMENT INC
[
EEI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive V.P. of Finance
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(Last)
(First)
(Middle)
368 PLEASANT VIEW DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/30/2007
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(Street)
LANCASTER, NY 14086
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class B Common Stock
(1)
(2)
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8/30/2007
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J
(3)
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V
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8915
(3)
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A
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$12.20
(3)
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187234
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D
(2)
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Class A Common Stock
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8/30/2007
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J
(3)
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V
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50
(3)
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A
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$12.20
(3)
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1050
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D
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Class B Common Stock
(1)
(2)
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8/30/2007
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J
(3)
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V
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181
(3)
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A
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$12.20
(3)
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3806
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I
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By former spouse
(4)
(5)
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Class A Common Stock
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8/30/2007
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J
(3)
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V
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470
(3)
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A
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$12.20
(3)
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9870
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I
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By 401k Plan
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Class A Common Stock
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8/30/2007
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J
(3)
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V
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125
(3)
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A
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$12.20
(3)
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2640
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I
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By IRA
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Class B Common Stock is convertible one-for-one into Class A Common Stock
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(
2)
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Reporting person is a party 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 their families 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.
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(
3)
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5% Stock dividend on Class A and Class B Common Stock for shareholder of record on August 1, 2007 payable August 30, 2007 and as a result thereof the Company's stated capital is increased by $0.01 per share and its excess of stated capital in increased by $12.20 per share and retained earnings are reduced by similar amounts.
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(
4)
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Not an admission that Reporting Person is beneficial owner. Reporting Person has no pecuniary interest in the shares owned by his former spouse
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(
5)
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Subject to the terms of an agreement entered into in 1989 between the Reporting Person and his former spouse, the Reporting Person has the right to vote these shares pursuant to an irrevocable proxy.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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FRANK RONALD L
368 PLEASANT VIEW DRIVE
LANCASTER, NY 14086
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X
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Executive V.P. of Finance
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Signatures
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Ronald L. Frank
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2/6/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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