Filing Details
- Accession Number:
- 0001193125-17-076537
- Form Type:
- 13D Filing
- Publication Date:
- 2017-03-09 14:26:02
- Filed By:
- Mill Road Capital Ii, L.p.
- Company:
- Ecology & Environment Inc (NASDAQ:EEI)
- Filing Date:
- 2017-03-09
- SEC Url:
- 13D Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Thomas E. Lynch | 8. | 463,072 | 10. | 463,072 | 463,072 | 15.43% |
| Scott P. Scharfman | 8. | 463,072 | 10. | 463,072 | 463,072 | 15.43% |
| Mill Road Capital II GP | 463,072 | 9. | 463,072 | 11. | 463,072 | 15.43% |
| Mill Road Capital II | 463,072 | 9. | 463,072 | 11. | 463,072 | 15.43% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
Ecology and Environment, Inc.
(Name of Issuer)
Class A Common Stock, $0.01 par value
(Title of Class of Securities)
278878103
(CUSIP Number)
Mill Road Capital II, L.P.
Attn: Thomas E. Lynch
382 Greenwich Avenue
Suite One
Greenwich, CT 06830
203-987-3500
With copies to:
| Peter M. Rosenblum, Esq. Foley Hoag LLP 155 Seaport Blvd. Boston, MA 02210 617-832-1151 | Paul Bork, Esq. Foley Hoag LLP 155 Seaport Blvd. Boston, MA 02210 617-832-1113 |
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
March 9, 2017
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ]
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are sent.
| * | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on 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. 278878103 | 13D | Page 2 of 7 Pages |
| 1. | Names of Reporting Persons.
Thomas E. Lynch | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☐
| |||||
| 3. | SEC Use Only
| |||||
| 4. | Source of Funds (See Instructions)
AF | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
| |||||
| 6. | Citizenship or Place of Organization
USA | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
| ||||
| 8. | Shared Voting Power
463,072 | |||||
| 9. | Sole Dispositive Power
| |||||
| 10. | Shared Dispositive Power
463,072 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
463,072 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
15.43% | |||||
| 14. | Type of Reporting Person (See Instructions)
HC; IN | |||||
| CUSIP No. 278878103 | 13D | Page 3 of 7 Pages |
| 1. | Names of Reporting Persons.
Scott P. Scharfman | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☐
| |||||
| 3. | SEC Use Only
| |||||
| 4. | Source of Funds (See Instructions)
AF | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
| |||||
| 6. | Citizenship or Place of Organization
USA | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
| ||||
| 8. | Shared Voting Power
463,072 | |||||
| 9. | Sole Dispositive Power
| |||||
| 10. | Shared Dispositive Power
463,072 | |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
463,072 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
15.43% | |||||
| 14. | Type of Reporting Person (See Instructions)
HC; IN | |||||
| CUSIP No. 278878103 | 13D | Page 4 of 7 Pages |
| 1. | Names of Reporting Persons
Mill Road Capital II GP LLC | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☐
| |||||
| 3. | SEC Use Only
| |||||
| 4. | Source of Funds (See Instructions)
AF | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
| |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
463,072 | ||||
| 8. | Shared Voting Power
| |||||
| 9. | Sole Dispositive Power
463,072 | |||||
| 10. | Shared Dispositive Power
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
463,072 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
15.43% | |||||
| 14. | Type of Reporting Person (See Instructions)
HC; OO | |||||
| CUSIP No. 278878103 | 13D | Page 5 of 7 Pages |
| 1. | Names of Reporting Persons.
Mill Road Capital II, L.P. | |||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☐
| |||||
| 3. | SEC Use Only
| |||||
| 4. | Source of Funds (See Instructions)
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
| |||||
| 6. | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With
| 7. | Sole Voting Power
463,072 | ||||
| 8. | Shared Voting Power
| |||||
| 9. | Sole Dispositive Power
463,072 | |||||
| 10. | Shared Dispositive Power
| |||||
| 11. | Aggregate Amount Beneficially Owned by Each Reporting Person
463,072 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
| |||||
| 13. | Percent of Class Represented by Amount in Row (11)
15.43% | |||||
| 14. | Type of Reporting Person (See Instructions)
PN | |||||
Page 6 of 7 Pages
This Amendment No. 3 to the joint statement on Schedule 13D with respect to the Class A Common Stock, $0.01 par value, of Ecology and Environment, Inc., a New York corporation filed by the undersigned on July 23, 2015, as amended by Amendment No. 1 filed on October 28, 2016 (the Schedule 13D), amends and restates the Schedule 13D as follows.
1. Item 4 of the Schedule 13D shall hereby be amended by inserting the following paragraph between the tenth and eleventh paragraphs:
On March 7, 2017, the Fund delivered a letter to the Issuer, attached hereto as Exhibit 22, pursuant to the applicable provisions of the New York Business Corporation Law, demanding the opportunity to inspect and make copies of the Issuers list of stockholders and certain related materials, in connection with the Funds potential solicitation of proxies in support of the Nominees.
2. Item 7 of the Schedule 13D shall hereby be amended by adding the following Exhibits:
| Exhibit 22 | Letter from Mill Road Capital II, L.P. to Ecology and Environment, Inc., dated March 6, 2017. |
3. Except as expressly modified hereby, all statements contained in the Schedule 13D remain unchanged.
[signature pages follow]
Page 7 of 7 Pages
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: March 9, 2017 | ||
| MILL ROAD CAPITAL II, L.P. | ||
| By: | Mill Road Capital II GP LLC, | |
| its General Partner | ||
| By: | /s/ Justin C. Jacobs | |
| Justin C. Jacobs | ||
| Management Committee Director | ||
| MILL ROAD CAPITAL II GP LLC | ||
| By: | /s/ Justin C. Jacobs | |
| Justin C. Jacobs | ||
| Management Committee Director | ||
| THOMAS E. LYNCH | ||
| By: | /s/ Justin C. Jacobs | |
| Justin C. Jacobs, duly authorized | ||
| SCOTT P. SCHARFMAN | ||
| By: | /s/ Justin C. Jacobs | |
| Justin C. Jacobs, duly authorized | ||