Ecology & Environment Inc - Initial Statement of Beneficial Ownership (3)
August 01 2008 - 9:48AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Expires:
February 28, 2011
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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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Neumaier Kevin S
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/1/2008
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3. Issuer Name
and
Ticker or Trading Symbol
ECOLOGY & ENVIRONMENT INC [EEI]
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(Last)
(First)
(Middle)
368 PLEASANT VIEW DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
President /
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(Street)
LANCASTER, NY 14086
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Class B Common Stock
(1)
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101354
(2)
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D
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Class A Common Stock
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5696
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D
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Class A Common Stock
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1151
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I
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By wife
(3)
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Class A Common Stock
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1120
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I
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By 401K Plan
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Class A Common Stock
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5958
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I
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By general partnership
(4)
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Class A Common Stock
(5)
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2313
(5)
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D
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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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.
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(
3)
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The reporting person disclaims beneficial ownership of these securities owned by his wife.
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(
4)
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The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
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(
5)
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Award of Class A Common Stock pursuant to the 2003 Ecology and Environment Inc. Stock Award Plan.
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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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Neumaier Kevin S
368 PLEASANT VIEW DRIVE
LANCASTER, NY 14086
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President
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Signatures
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Kevin S. Neumaier
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8/1/2008
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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 5(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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