ECOLOGY & ENVIRONMENT INC - FORM 10-K/A - November 14, 2012

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EXCEL - IDEA: XBRL DOCUMENT - ECOLOGY & ENVIRONMENT INCFinancial_Report.xls
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EX-31.2 - ECOLOGY & ENVIRONMENT INCex31_2.htm
EX-31.1 - ECOLOGY & ENVIRONMENT INCex31_1.htm
EX-32.1 - ECOLOGY & ENVIRONMENT INCex32_1.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 10-K/A


þ
 
Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the fiscal year ended July 31, 2012
   
o
Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the transition period from __________ to __________
 
Commission File Number 1-9065
 
ECOLOGY AND ENVIRONMENT, INC.
(Exact name of registrant as specified in its charter)
 
 
New York
(State or other jurisdiction of incorporation or organization)
  
16-0971022
(IRS Employer Identification Number)
 
     
368 Pleasant View Drive, Lancaster, NY
(Address of principal executive offices)
  
14086
(Zip code)
 
     
716-684-8060
(Registrant's telephone number, including area code)
  
Securities registered pursuant to section 12(b) of the Act:
 
Title of each class
  
 
Name of each exchange on which registered
Class A Common Stock par value $.01 per share
NASDAQ Stock Exchange
  
 
 
 
 
 
Securities registered pursuant to section 12(g) of the Act:
  
 
 
 None
  
(Title of class)

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  Yes    No þ

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.  Yes   No þ

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.  Yes þ    No

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulations S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).   Yes     No þ

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K.   
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company (as defined by Rule 12b-2 of the Exchange Act). 

 
 
 


Large accelerated filer
 
Accelerated filer
Non-accelerated filer  (Do not check if a smaller reporting company)
 
Smaller reporting company
þ

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).   Yes    No 

Exhibit Index on Page 52  

The aggregate market value of the Class A Common Stock held by non-affiliates as of January 31, 2012 (the last business day of the registrant’s most recently completed second fiscal quarter) was $42,638,845. This amount is based on the closing price of the registrant’s Class A Common Stock on the National Association of Securities Dealers Automated Quotations (NASDAQ) Stock Market for that date. Shares of Class A Common Stock held by the executive officers and directors of the registrant are not included in this computation.

As of September 30, 2012, 2,600,144 shares of the registrant's Class A Common Stock, $.01 par value (the "Class A Common Stock") were outstanding, and 1,643,773 shares of the registrant's Class B Common Stock, $.01 par value (the "Class B Common Stock") were outstanding.

DOCUMENTS INCORPORATED BY REFERENCE

Portions of the Registrant's Registration Statement on Form S-1, as amended by Amendment Nos. 1 and 2 (Registration No. 33-11543) as well as portions of the Company's Form 10-K for fiscal years ended July 31, 2002, 2003, 2004, 2010 and 2011 are incorporated by reference in Part IV of this Form 10-K.
 
Explanation of First Amendment

The Registrant, Ecology and Environment, Inc., (the “Company” or “EEI”), filed a Form 10-K on November 14, 2012 with the Securities and Exchange Commission (the “SEC”).  All items remain unchanged from that filing.  This Amendment is being filed because the Interactive Data required for that filing did not attach.  Herewith, are those files.

Signature
 
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 
ECOLOGY AND ENVIRONMENT, INC.
   
   
Dated:    November 14, 2012
/s/ Kevin S. Neumaier
 
Kevin S. Neumaier
President and Chief Executive Officer


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