Attached files
file | filename |
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EX-31.2 - ECOLOGY & ENVIRONMENT INC | ex31_2.htm |
EX-32.2 - ECOLOGY & ENVIRONMENT INC | ex32_2.htm |
EX-32.1 - ECOLOGY & ENVIRONMENT INC | ex32_1.htm |
EX-31.1 - ECOLOGY & ENVIRONMENT INC | ex31_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, 2009
|
o
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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)
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14086
(Zip
code)
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||
716-684-8060
(Registrant's
telephone number, including area code)
|
|||
Securities
Registered Pursuant to Section 12(b) of the Act:
|
|||
Title of each class
Class
A Common Stock par value $.01 per share
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Name of each exchange on which
registered
NASDAQ
Stock Exchange
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||
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 o
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 o
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
o
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. o
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
|
o
|
Accelerated
filer
|
o
|
|
Non-accelerated
filer
(Do
not check if a smaller reporting company)
|
o
|
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 o No
þ
The
aggregate market value of the Class A Common Stock held by non-affiliates as of
January 31, 2009 (the last business day of the registrant’s most recently
completed second fiscal quarter) was $28,578,882. 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, 2009, 2,435,361 shares of the registrant's Class A Common Stock,
$.01 par value (the "Class A Common Stock") were outstanding, and 1,651,273
shares of the registrant's Class B Common Stock, $.01 par value ("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, and 2004 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 October 28, 2009 with the Securities and Exchange Commission (the
“SEC”). This Amendment is being filed because omissions were
inadvertently made in paragraph 4 of Exhibit 31.1 – Certification of
Principal Executive Officer and Exhibit 31.2 – Certification of Principal
Financial Officer. Attached to this filing are corrected Exhibits
31.1 and 31.2 along with currently dated certification Exhibits 32.1 and
32.2. All other items remain unchanged from the previously filed Form
10-K.
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.
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Dated: February
18, 2010
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/s/
Kevin S. Neumaier
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Kevin
S. Neumaier
President
and Chief Executive Officer
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