SEC Form 4 · accession 0001209191-15-076675
ECOLOGY & ENVIRONMENT INC · EEI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald L Frank
Officer — Executive V.P. of Finance · Director
Period of report
Oct 23, 2015
Accepted (ET)
Oct 26, 2015 · 1:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000809933
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Oct 23, 2015 | P | 1,000 | $10.55 | A | 12,906 | D | |
| Class B Common StockF1,F2 | holding | — | — | — | 187,234 | D | ||
| Class A Common Stock | holding | — | — | — | 6,265 | I | by 401 k Plan | |
| Class A Common Stock | holding | — | — | — | 7,640 | I | By IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Class B Common Stock is convertible one-for-one into Class A Common Stock
- F2Reporting person is a party to an Agreement dated May 12, 1970, as amended January 24, 2011, among Messrs. Gerhard J. Neumaier (deceased 2013), Frank B. Silvestro, Gerald A. Strobel and Ronald L. Frank, whereby none of the shares (now classified as Class B Common Stock) subject to the Agreement including shares owned by them, certain children of those individuals and any such shares subsequently transferred to their spouses and/or children outright or in trust for their benefit upon the demise of a signatory to that agreement may be sold without the seller first granting the other signatories a 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 nor is this an admission that all shares held by the reporting person are subject to the Agreement