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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Neumaier Kevin S 368 PLEASANT VIEW DRIVE LANCASTER, NY 14086 |
President |
Kevin S. Neumaier | 04/30/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Class B Common Stock is convertible one-for-one into Class A Common Stock |
(2) | Reporting Person exchanged 13,524 shares of his Class A Common Stock for equal number of shares of Class B Common Stock with an existing holder of Class B Common Stock |
(3) | 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. |
(4) | General partnership distributed 17,484 shares of Class A Common stock in equal shares among its three partners. |
(5) | Previously filed Form 4s by the Reporting Person in 2008 incorrectly calculated the number of shares owned by the general partnership that were attributable to the Reporting Person's percentage ownership therein. |
(6) | Total number of shares owned by the general partnership |
(7) | The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
(8) | The reporting person disclaims beneficial ownership of these securities owned by his wife |
(9) | Award of Class A Common Stock pursuant to the 2003 Ecology and Environment Inc. Stock Award Plan. |