SEC Form 4 · accession 0001209191-16-139647
ECOLOGY & ENVIRONMENT INC · EEI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael C. Gross
Director
Period of report
Sep 2, 2016
Accepted (ET)
Sep 2, 2016 · 12:33 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 | Sep 2, 2016 | A | 1,319 | $10.15 | A | 2,669 | D | |
| Class A Common Stock | holding | — | — | — | 400 | D | ||
| Class B Common StockF1,F2 | holding | — | — | — | 5,949 | I | Co-Trustee and 1/3 contingent remainderman of Trust that owns shares | |
| Class B Common StockF1,F3 | holding | — | — | — | 17,500 | I | Co-Trustee and 1/3 contingent remainderman of Trust that owns shares |
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 one of three co-trustees of an inter vivos trust established by his parents for their benefit that owns these shares of Class B Common Stock and is a one-third contingent remainder beneficiary of the trust's assets which include a total of 17,848 of such shares of which he disclaims beneficial interest in 11,899 of those shares.
- F3Reporting Person is one of three co-trustees of an inter vivos trust established by his father for the benefit of his mother, himself and his siblings that owns shares of Class B Common Stock. The Reporting Person is a one-third contingent remainder beneficiary of the trust's assets which include 52,500 of such shares of whch he disclaims beneficial intest in 35,000 of those shares.
- F4Award of Class A Common Stock pursuant to the 2011 Ecology and Environment, Inc. Stock Award Plan