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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Ecology and Environment Inc | NASDAQ:EEI | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 15.45 | 0.01 | 199,999.99 | 0 | 01:00:00 |
Item 1. |
Not applicable.
|
Item 2. |
Not applicable
|
Item 3. |
Not applicable
|
Item 4. |
Financial Statements of the Plan
|
Exhibit Number
|
Description of Exhibit
|
||
Consent of Freed Maxick CPAs, P.C., Independent Registered Public Accounting Firm
|
|
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
Page
|
|
1
|
|
Financial Statements:
|
|
2
|
|
3
|
|
4 - 9
|
|
Supplemental Schedule:
|
|
10
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
Balance at December 31,
|
||||||||
2016
|
2015
|
|||||||
Assets:
|
||||||||
Investments, at fair value (Note 5)
|
$
|
44,530,752
|
$
|
41,536,254
|
||||
Transfer receivable from other plans
|
5,921,643
|
---
|
||||||
Notes receivable from participants
|
292,831
|
269,001
|
||||||
Total assets
|
50,745,226
|
41,805,255
|
||||||
Liabilities:
|
||||||||
Excess contributions payable
|
42,116
|
---
|
||||||
Net assets available for benefits
|
$
|
50,703,110
|
$
|
41,805,255
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
Plan Year Ended
December 31,
2016
|
||||
Additions to net assets attributed to:
|
||||
Interest
|
$
|
725,180
|
||
Dividends
|
971,718
|
|||
Net appreciation in fair value of investments
|
1,438,658
|
|||
Cash contributions:
|
||||
Participants
|
2,592,800
|
|||
Rollovers
|
59,688
|
|||
Total additions to net assets
|
5,788,044
|
|||
Deductions from net assets attributed to:
|
||||
Benefits paid to participants
|
2,809,068
|
|||
Administrative expenses
|
2,764
|
|||
Total deductions from net assets
|
2,811,832
|
|||
Net increase in net assets available for benefits
|
2,976,212
|
|||
Transfer in from other plans
|
5,921,643
|
|||
Net assets available for benefits, beginning of year
|
41,805,255
|
|||
Net assets available for benefits, end of year
|
$
|
50,703,110
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
1. |
Description of the Plan
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
2. |
Summary of Accounting Policies
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
3. |
Tax Status
|
4. |
Risks and Uncertainties
|
5. |
Fair Value Measurements
|
Level 1: |
Inputs to the valuation methodology are quoted prices (unadjusted) in active markets for identical assets or liabilities that the Plan can access at the measurement date.
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
Level 2: |
Inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly or indirectly, such as:
|
· |
Quoted prices for similar assets or liabilities in active markets
|
· |
Quoted prices for identical or similar assets or liabilities in inactive markets
|
· |
Inputs other than quoted prices that are observable for the asset or liability
|
· |
Inputs that are derived principally from or corroborated by observable market data by correlation or other means
|
Level 3: |
Inputs that are unobservable inputs for the asset or liability.
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
Assets at Fair Value at December 31, 2016
|
||||||||||||||||
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||||
Mutual funds
|
$
|
32,529,289
|
$
|
---
|
$
|
---
|
$
|
32,529,289
|
||||||||
Self-directed brokerage account
|
1,205,151
|
---
|
---
|
1,205,151
|
||||||||||||
Unitized stock fund
|
496,514
|
---
|
---
|
496,514
|
||||||||||||
Total assets in fair value hierarchy
|
$
|
34,230,954
|
$
|
---
|
$
|
---
|
34,230,954
|
|||||||||
Investments measured at NAV
|
10,299,798
|
|||||||||||||||
Investments, at fair value
|
$
|
44,530,752
|
Assets at Fair Value at December 31, 2015
|
||||||||||||||||
Level 1
|
Level 2
|
Level 3
|
Total
|
|||||||||||||
Mutual funds
|
$
|
29,750,136
|
$
|
---
|
$
|
---
|
$
|
29,750,136
|
||||||||
Self-directed brokerage account
|
1,059,121
|
---
|
---
|
1,059,121
|
||||||||||||
Unitized stock fund
|
467,589
|
---
|
---
|
467,589
|
||||||||||||
Total assets in fair value hierarchy
|
$
|
31,276,846
|
$
|
---
|
$
|
---
|
31,276,846
|
|||||||||
Investments measured at NAV
|
10,259,408
|
|||||||||||||||
Investments, at fair value
|
$
|
41,536,254
|
Fair Value
|
Unfunded
Commitments
|
Redemption
Frequency
|
Redemption
Notice Period
|
||||||
Balance at December 31, 2016:
|
|||||||||
Common collective trust funds
|
$
|
10,299,798
|
None
|
Daily
|
None
|
||||
Balance at December 31, 2015:
|
|||||||||
Common collective trust funds
|
$
|
10,259,408
|
None
|
Daily
|
None
|
6. |
Related Party Transactions and Parties-in-Interest
|
Balance at
December 31, 2016
|
Balance at
December 31, 2015
|
|||||||||||||||
Number
of Shares
|
Fair Value
|
Number
of Shares
|
Fair Value
|
|||||||||||||
Unitized Stock Fund:
|
||||||||||||||||
Ecology and Environment, Inc. Class A Common Stock
|
41,166
|
$
|
434,314
|
38,814
|
$
|
404,539
|
||||||||||
Brokerage Access Account:
|
||||||||||||||||
Ecology and Environment, Inc. Class A Common Stock
|
6,265
|
$
|
66,096
|
6,265
|
$
|
64,091
|
Ecology and Environment, Inc.
401(k) Plan
Financial Statements and Supplemental Schedule
|
7. |
Reconciliation of Financial Statements to Form 5500
|
Plan Year Ended
December 31,
|
||||||||
2016
|
2015
|
|||||||
Net assets available for Plan benefits:
|
||||||||
Plan net assets at year-end per these financial statements
|
$
|
50,703,110
|
$
|
41,805,255
|
||||
Miscellaneous adjustments
|
---
|
---
|
||||||
Plan net assets at year end per the Plan’s Form 5500
|
$
|
50,703,110
|
$
|
41,805,255
|
||||
Net increase (decrease) in net assets available for Plan benefits:
|
||||||||
Increase (decrease) in Plan net assets per these financial statements
|
$
|
8,897,855
|
$
|
(770,428
|
)
|
|||
Miscellaneous adjustments
|
---
|
(66,648
|
)
|
|||||
Increase (decrease) in Plan net assets per the Plan’s Form 5500
|
$
|
8,897,855
|
$
|
(837,076
|
)
|
(a) Shares
|
(c) Description of Investment
Including Maturity Date, Rate of Interest
Collateral, Par, or Maturity Value
|
(d) Cost
|
(e) Current Value
|
||||||||||
Mutual Funds:
|
|||||||||||||
*
|
307,449
|
Putnam Equity Income A
|
**
|
$
|
6,578,170
|
||||||||
186,150
|
J P Morgan Mid Cap Growth A
|
**
|
|
4,514,142
|
|||||||||
65,426
|
Fidelity Low Priced Fund
|
**
|
|
3,237,300
|
|||||||||
41,215
|
Franklin Growth A
|
**
|
|
3,157,517
|
|||||||||
249,371
|
Metropolitan West Total Return Bond M
|
**
|
|
2,628,371
|
|||||||||
29,903
|
Harbor International Fund - Inv
|
**
|
|
1,732,868
|
|||||||||
53,862
|
T. Rowe Price 2030 Adv
|
**
|
|
1,203,817
|
|||||||||
54,664
|
MFS Total Return R3
|
**
|
|
986,694
|
|||||||||
21,668
|
Victory Sycamore Small Co Opportunity A
|
**
|
|
955,549
|
|||||||||
53,188
|
MFS Growth Allocation R3
|
**
|
|
954,730
|
|||||||||
47,548
|
MFS Aggressive Growth Allocation R3
|
**
|
|
922,916
|
|||||||||
33,185
|
T. Rowe Price 2040 Adv
|
**
|
|
763,909
|
|||||||||
3,045
|
Vanguard Mid Cap Index Adm
|
**
|
|
496,101
|
|||||||||
29,914
|
MFS Moderate Allocation R3
|
**
|
|
479,814
|
|||||||||
30,170
|
T. Rowe Price 2025 Adv
|
**
|
|
465,528
|
|||||||||
16,231
|
Clearbridge Small Cap Growth A
|
**
|
|
441,646
|
|||||||||
21,056
|
T. Rowe Price 2020 Adv
|
**
|
|
427,021
|
|||||||||
20,603
|
Neuberger Berman Socially Resp Tr
|
**
|
|
401,543
|
|||||||||
22,927
|
T. Rowe Price 2015 Adv
|
**
|
|
323,952
|
|||||||||
23,059
|
T. Rowe Price 2050 Adv
|
**
|
|
300,688
|
|||||||||
17,141
|
T. Rowe Price 2035 Adv
|
**
|
|
278,020
|
|||||||||
4,283
|
Vanguard Small Cap Index Fund - Admiral
|
**
|
|
264,580
|
|||||||||
17,273
|
MFS Conservative Allocation R3
|
**
|
|
250,282
|
|||||||||
13,133
|
T. Rowe Price 2010 Adv
|
**
|
|
226,943
|
|||||||||
17,337
|
American Century Inflat-Adj Bond A
|
**
|
|
199,724
|
|||||||||
10,232
|
T. Rowe Price 2045 Adv
|
**
|
|
158,999
|
|||||||||
8,964
|
T. Rowe Price 2055 Adv
|
**
|
|
117,434
|
|||||||||
3,520
|
T. Rowe Price Balanced Adv
|
**
|
|
51,639
|
|||||||||
733
|
T. Rowe Price 2005 Adv
|
**
|
|
9,392
|
|||||||||
Total Mutual Funds
|
32,529,289
|
||||||||||||
Common Collective Trust Funds:
|
|||||||||||||
*
|
92,544
|
Putnam S & P 500 Index Fund Class A
|
**
|
|
6,527,093
|
||||||||
*
|
3,772,705
|
Putnam Stable Value Fund
|
**
|
|
3,772,705
|
||||||||
Total Common Collective Trust Funds
|
10,299,798
|
||||||||||||
* |
Brokerage Access Account
|
1,205,151
|
|||||||||||
Unitized Stock Fund:
|
|||||||||||||
*
|
41,166
|
Ecology and Environment, Inc.
|
**
|
|
434,314
|
||||||||
-
|
AIM Treasury fund
|
**
|
|
62,200
|
|||||||||
Total Unitized Stock Fund
|
496,514
|
||||||||||||
Participant Loans:
|
|||||||||||||
*
|
-
|
Notes receivable from participants with interest rates ranging from
4.25% - 9.50%
|
-0-
|
292,831
|
|||||||||
$
|
44,823,583
|
* |
Indicates parties-in-interest to the Plan.
|
** |
Cost not required to be presented for participant directed investments.
|
Name of Plan:
|
Ecology and Environment, Inc. 401(k) Plan
|
||
By:
|
Ecology and Environment, Inc. 401(k) Plan Committee, Plan Administrator
|
||
Date: June 26, 2017
|
By:
|
/s/ Ronald L. Frank
|
|
Ronald L. Frank
Committee Member
|
1 Year Ecology and Environment Chart |
1 Month Ecology and Environment Chart |
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