-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FKd4xFStkiKdRzUETGbYuy4gHIHuavyc4ZJ7bpGmgQGATqJ6AcAZGC6a1LDPq3qA +T1pJh3RKoRGSsGON3K05A== 0000933327-98-000002.txt : 19980211 0000933327-98-000002.hdr.sgml : 19980211 ACCESSION NUMBER: 0000933327-98-000002 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980210 SROS: AMEX SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-39143 FILM NUMBER: 98529393 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STROBEL GERALD A CENTRAL INDEX KEY: 0000902816 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 368 PLEASANTVIEW DRIVE CITY: LANCASTER STATE: NY ZIP: 14086 BUSINESS PHONE: 7166848060 MAIL ADDRESS: STREET 2: 368 PLEASANTVIEW DRIVE CITY: LANCASTER STATE: NY ZIP: 14086 SC 13G/A 1 SCHEDULE 13G/A (Amendment No. 10) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Information to be included in statements filed pursuant to rules 13d-1(b) and (c) and amendments thereto filed pursuant to 13d-2(b) Ecology and Environment, Inc. (Name of Issuer) Class A Common Stock (Class B Common Stock is Convertible into Class A Common Stock on a one for one basis) (Title of Class of Securities) 278878 10 3 (CUSIP Number) The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP NO.: 278878 10 3 1) Name of Reporting Persons Gerald A. Strobel 2) Check the Appropriate Box if a Member of a Group. Not Applicable 3) Securities and Exchange Commission use only 4) Citizenship or Place of Organization. United States NUMBER OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH: 5) Sole Voting Power Class A(1) Class B(2) 238,241 238,241 6) Shared Voting Power Class A Class B -0- -0- 7) Sole Dispositive Power Class A Class B 21,171 21,171 8) Shared Dispositive Power(3) Class A(1) Class B(2) 217,070 217,070 (1) Class B Stock is convertible into Class A Stock on a one for one basis. (2) Includes 21,171 shares of Class B Common Stock owned in equal amounts by Mr. Strobel as custodian for each of his three children as to which he disclaims beneficial ownership. Does not include any other shares of Class B Common Stock owned by Mr. Strobel's children. (3) Messrs. Gerhard J. Neumaier, Frank B. Silvestro, Ronald L. Frank and Gerald A. Strobel entered into a Stockholders' Agreement in 1970 which governs the sale of an aggregate of 1,267,018 shares Class B Common Stock owned by them, certain members of their families and a former spouse. The Agreement provides that prior to accepting a bona fide offer to purchase all or any part of those shares, each party must first allow the other members to the agreement the opportunity to acquire on a pro rata basis, with right of over- allotment, all of such shares covered by the offer on the same terms and conditions proposed by the offer. 9) Aggregate Amount Beneficially Owned by Reporting Person: Class A Class B 238,241 238,241 10) Check box if the aggregate amount in Row 9 excludes certain shares. | | 11) Percent of Class Represented by Amount in Row 9: Class A Class B Common Stock Common Stock 10.0% 13.3% 12) Type of Reporting Person: Individual SECURITIES AND EXCHANGE COMMISSION Washington, D.C. Schedule 13G Under the Securities Exchange Act of 1934 Item 1(a): Name of Issuer: Ecology and Environment, Inc. Item 1(b): Address of Issuer's Principal Executive Offices: 368 Pleasant View Drive, Lancaster, New York Item 2(a): Name of Person Filing: Gerald A. Strobel Item 2(b): Address of Principal Business Office: 368 Pleasant View Drive, Lancaster, New York Item 2(c): Citizenship: United States Item 2(d): Title of Class of Securities: Class A Common Stock (Class B Common Stock isconvertible into Class A Stock on a one for one basis) Item 2(e): CUSIP Number: 278878 10 3 Item 3: Not Applicable Item 4(a): Amount Beneficially Owned:(1)(2)(3)(4)(5)(6) Class A Class B 238,241 238,241 Item 4(b): Percent of Class: Class A Class B 10.0% 13.3% Item 4(c)(i): Sole Power to Vote or to direct the vote - Class A Class B 238,241 238,241 Item 4(c)(ii): Shared Power to Vote or to direct the vote - Class A Class B - 0 - - 0 - Item 4(c)(iii): Sole Power to dispose or to direct the disposition of - Class A Class B 21,171 21,171 Item 4(c)(iv): Shared Power to dispose or to direct the disposition of - Class A Class B 217,070 217,070 _______________ (1) Class B Stock is convertible into Class A Stock on a one for one basis. (2) The Filing Person is deemed to be the beneficial owner of securities that may be acquired within 60 days through the exercise of exchange or conversion rights. The shares of Class A Common Stock issuable upon conversion by any such shareholder are not included in calculating the number of shares or percentage of Class A Common Stock beneficially owned by any other shareholder. Moreover, the table does not give effect to any shares of Class A Common Stock that may be issued pursuant to the Company's Incentive Stock Option Plan, none of which have been granted to the Filing Person. (3) Does not include 49,932 shares (19,475 shares of Class A Commons Stock and 30,457 shares of Class B Common Stock) owned by the Company's Defined Contribution Plan of which Messrs. Gerhard J. Neumaier, Frank B. Silvestro, Ronald L. Frank, and Gerald A. Strobel constitute four of five Trustees. (4) Messrs. Gerhard J. Neumaier, Frank B. Silvestro, Ronald L. Frank and Gerald A. Strobel entered into a Stockholders' Agreement in 1970 which governs the sale of an aggregate of 1,267,018 shares Class B Common Stock owned by them, certain members of their families and a former spouse. The Agreement provides that prior to accepting a bona fide offer to purchase all or any part of those shares, each party must first allow the other members to the agreement the opportunity to acquire on a pro rata basis, with right of over- allotment, all of such shares covered by the offer on the same terms and conditions proposed by the offer. (5) There are 2,155,822 shares of Class A Common Stock outstanding and 1,793,508 shares of Class B Common Stock outstanding as of December 31, 1997. (6) Includes 21,171 shares of Class B Common Stock owned in equal amounts by Mr. Strobel as custodian for each of his three children as to which he disclaims beneficial ownership. Does not include any other shares of Class B Common Stock owned by Mr. Strobel's children. Item 5: Ownership of Five Percent or Less of a Class: Not Applicable Item 6: Ownership of More than Five Percent on Behalf of Another Person: Not Applicable Item 7: Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Not Applicable Item 8: Identification and Classification of Members of the Group: Not Applicable Item 9: Notice of Dissolution of Group Not Applicable Item 10: Certification: Not Applicable Signature: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 10,1998 Signature: /s/ Gerald A. Strobel Name/Title: Gerald A. Strobel, Executive Vice President of Technical Services and Director -----END PRIVACY-ENHANCED MESSAGE-----