Item 1.
|
|
Not applicable.
|
|
|
|
Item 2.
|
|
Not applicable
|
|
|
|
Item 3.
|
|
Not applicable
|
|
|
|
Item 4.
|
|
Financial Statements of the Plan
|
|
|
|
|
|
The Financial Statements of the Ecology and Environment, Inc. 401(k) Plan (the Plan) for the fiscal years ended December 31, 2013 and 2012, together with the report of Schneider Downs & Co., Inc., Independent Registered Public Accounting Firm, is included in this Annual Report on Form 11-K, and are by specific reference incorporated herein and filed as a part hereof. The Financial Statements and the Notes thereto are presented in lieu of the financial statements required by Items 1, 2 and 3 of Form 11-K. The Plan is subject to the requirements of the Employee Retirement Income Security Act of 1974 (ERISA).
|
|
Exhibit Number
|
Description of Exhibit
|
|
|
|
|
|
|
Consent of Schneider Downs & Co., Inc., Independent Registered Public Accounting Firm
|
|
Page
|
|
|
1
|
|
|
|
Financial Statements:
|
|
|
|
2
|
|
|
|
3
|
|
|
|
4 – 13
|
|
|
|
Supplemental Schedule:
|
|
|
|
14 - 16
|
/s/ Schneider Downs & Co., Inc.
|
|
|
|
Pittsburgh, Pennsylvania
June 26, 2014
|
|
Ecology and Environment, Inc.
|
401(k) Plan
|
December 31,
|
Assets
|
2013
|
2012
|
||||||
|
||||||||
Investments, at fair value (see Note 6)
|
$
|
41,047,012
|
$
|
34,632,094
|
||||
Notes receivable from participants
|
447,349
|
321,139
|
||||||
Participant contributions receivable
|
-
|
101,850
|
||||||
|
||||||||
Total assets
|
41,494,361
|
35,055,083
|
||||||
Liabilities
|
||||||||
|
||||||||
Excess contributions
|
-
|
41,591
|
||||||
|
||||||||
Total liabilities
|
-
|
41,591
|
||||||
|
||||||||
Net assets available for benefits at fair value
|
41,494,361
|
35,013,492
|
||||||
|
||||||||
Adjustment from fair value to contract value for fully benefit-responsive investment contracts
|
(41,218
|
)
|
(83,400
|
)
|
||||
|
||||||||
Net assets available for benefits
|
$
|
41,453,143
|
$
|
34,930,092
|
Ecology and Environment, Inc.
|
401(k) Plan
|
Years Ended December 31,
|
|
2013
|
2012
|
||||||
|
||||||||
Additions to net assets attributed to:
|
||||||||
Interest
|
$
|
22,480
|
$
|
15,199
|
||||
Dividends
|
1,476,604
|
1,013,093
|
||||||
Net appreciation in fair value of investments (see Note 7)
|
6,089,227
|
2,743,307
|
||||||
|
7,588,311
|
3,771,599
|
||||||
|
||||||||
Contributions:
|
||||||||
Participant
|
2,741,036
|
2,785,991
|
||||||
Rollovers
|
145,630
|
177,615
|
||||||
|
2,886,666
|
2,963,606
|
||||||
|
||||||||
Total additions
|
10,474,977
|
6,735,205
|
||||||
|
||||||||
Deductions from net assets attributed to:
|
||||||||
Benefits paid to participants
|
3,947,344
|
2,081,710
|
||||||
Administrative expenses
|
4,582
|
6,148
|
||||||
Total deductions
|
3,951,926
|
2,087,858
|
||||||
|
||||||||
Net increase
|
6,523,051
|
4,647,347
|
||||||
|
||||||||
Net assets available for benefits:
|
||||||||
Beginning of year
|
34,930,092
|
30,282,745
|
||||||
|
||||||||
End of year
|
$
|
41,453,143
|
$
|
34,930,092
|
Ecology and Environment, Inc.
|
401(k) Plan
|
December 31, 2013 and 2012
|
1. | Description of Plan |
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
1. | Description of Plan (Continued) |
2. | Summary of Accounting Policies |
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
2. | Summary of Accounting Policies (Continued) |
3. | Plan Termination |
4. | Tax Status |
5. | Risks and Uncertainties |
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
6. | Fair Value Measurements |
Level 1: | Quoted market prices in active markets for identical assets or liabilities. |
Level 2: | Observable market based inputs or unobservable inputs that are corroborated by market data. |
Level 3: | Unobservable inputs that are not corroborated by market data. |
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
6. | Fair Value Measurements (continued) |
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
6. | Fair Value Measurements (continued) |
December 31, 2013
|
Quoted
Prices in
Active
Market
Level I
|
Significant Other Observable Inputs
Level II
|
Significant Unobservable Inputs
Level III
|
Total
|
||||||||||||
|
||||||||||||||||
Mutual funds:
|
||||||||||||||||
Growth funds
|
$
|
9,496,906
|
$
|
-
|
$
|
-
|
$
|
9,496,906
|
||||||||
Blend funds
|
6,236,656
|
-
|
-
|
6,236,656
|
||||||||||||
Value funds
|
6,167,373
|
-
|
-
|
6,167,373
|
||||||||||||
Bond funds
|
2,938,224
|
-
|
-
|
2,938,224
|
||||||||||||
Allocation funds
|
2,663,546
|
-
|
-
|
2,663,546
|
||||||||||||
Target date funds
|
2,257,536
|
-
|
-
|
2,257,536
|
||||||||||||
|
||||||||||||||||
Total mutual funds
|
29,760,241
|
-
|
-
|
29,760,241
|
||||||||||||
|
||||||||||||||||
Brokerage access account:
|
||||||||||||||||
Cash and cash equivalents
|
414,366
|
-
|
-
|
414,366
|
||||||||||||
Preferred stock
|
51,960
|
-
|
-
|
51,960
|
||||||||||||
Common stock:
|
||||||||||||||||
Basic materials
|
119,627
|
-
|
-
|
119,627
|
||||||||||||
Technology
|
106,096
|
-
|
-
|
106,096
|
||||||||||||
Services
|
79,076
|
-
|
-
|
79,076
|
||||||||||||
Utilities
|
64,007
|
-
|
-
|
64,007
|
||||||||||||
Other
|
55,554
|
-
|
-
|
55,554
|
||||||||||||
Conglomerates
|
28,629
|
-
|
-
|
28,629
|
||||||||||||
Consumer goods
|
19,365
|
-
|
-
|
19,365
|
||||||||||||
Industrials
|
17,870
|
-
|
-
|
17,870
|
||||||||||||
|
||||||||||||||||
Mutual funds:
|
||||||||||||||||
Allocation funds
|
206,513
|
-
|
-
|
206,513
|
||||||||||||
Growth funds
|
160,184
|
-
|
-
|
160,184
|
||||||||||||
Value funds
|
142,314
|
-
|
-
|
142,314
|
||||||||||||
Other
|
46,975
|
-
|
-
|
46,975
|
||||||||||||
Bond funds
|
38,117
|
-
|
-
|
38,117
|
||||||||||||
Target date funds
|
20,440
|
-
|
-
|
20,440
|
||||||||||||
World stock
|
11,898
|
-
|
-
|
11,898
|
||||||||||||
Unit investment trusts
|
123,361
|
-
|
-
|
123,361
|
||||||||||||
|
||||||||||||||||
Total brokerage access account
|
1,706,352
|
-
|
-
|
1,706,352
|
||||||||||||
|
||||||||||||||||
Unitized stock fund
|
482,146
|
-
|
-
|
482,146
|
||||||||||||
Common collective trust funds
|
-
|
9,098,273
|
-
|
9,098,273
|
||||||||||||
|
||||||||||||||||
Total investments at fair value
|
$
|
31,948,739
|
$
|
9,098,273
|
$
|
-
|
$
|
41,047,012
|
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
6. | Fair Value Measurements (continued) |
December 31, 2012
|
Quoted
Prices in
Active
Market
Level I
|
Significant Other Observable Inputs
Level II
|
Significant Unobservable Inputs
Level III
|
Total
|
||||||||||||
|
||||||||||||||||
Mutual funds:
|
||||||||||||||||
Blend funds
|
$
|
9,529,801
|
$
|
-
|
$
|
-
|
$
|
9,529,801
|
||||||||
Growth funds
|
7,718,819
|
-
|
-
|
7,718,819
|
||||||||||||
Value funds
|
4,887,715
|
-
|
-
|
4,887,715
|
||||||||||||
Bond funds
|
3,407,038
|
-
|
-
|
3,407,038
|
||||||||||||
Allocation funds
|
2,038,737
|
-
|
-
|
2,038,737
|
||||||||||||
Target date funds
|
1,394,012
|
-
|
-
|
1,394,012
|
||||||||||||
|
||||||||||||||||
Total mutual funds
|
28,976,122
|
-
|
-
|
28,976,122
|
||||||||||||
|
||||||||||||||||
Brokerage access account:
|
||||||||||||||||
Cash and cash equivalents
|
228,385
|
-
|
-
|
228,385
|
||||||||||||
Preferred stock
|
26,940
|
-
|
-
|
26,940
|
||||||||||||
Common stock:
|
||||||||||||||||
Services
|
247,259
|
-
|
-
|
247,259
|
||||||||||||
Utilities
|
157,508
|
-
|
-
|
157,508
|
||||||||||||
Other
|
130,937
|
-
|
-
|
130,937
|
||||||||||||
Consumer goods
|
88,411
|
-
|
-
|
88,411
|
||||||||||||
Technology
|
87,864
|
-
|
-
|
87,864
|
||||||||||||
Basic materials
|
43,318
|
-
|
-
|
43,318
|
||||||||||||
Conglomerates
|
31,905
|
-
|
-
|
31,905
|
||||||||||||
Industrials
|
6,419
|
-
|
-
|
6,419
|
||||||||||||
|
||||||||||||||||
Mutual funds:
|
||||||||||||||||
Target date funds
|
133,788
|
-
|
-
|
133,788
|
||||||||||||
Other
|
64,391
|
-
|
-
|
64,391
|
||||||||||||
Growth funds
|
50,627
|
-
|
-
|
50,627
|
||||||||||||
Allocation funds
|
50,249
|
-
|
-
|
50,249
|
||||||||||||
Bond funds
|
46,431
|
-
|
-
|
46,431
|
||||||||||||
World stock
|
28,544
|
-
|
-
|
28,544
|
||||||||||||
Value funds
|
17,955
|
-
|
-
|
17,955
|
||||||||||||
Unit investment trusts
|
115,922
|
-
|
-
|
115,922
|
||||||||||||
|
||||||||||||||||
Total brokerage access account
|
1,556,853
|
-
|
-
|
1,556,853
|
||||||||||||
|
||||||||||||||||
Unitized stock fund
|
414,885
|
-
|
-
|
414,885
|
||||||||||||
Common collective trust fund
|
-
|
3,684,234
|
-
|
3,684,234
|
||||||||||||
|
||||||||||||||||
Total investments at fair value
|
$
|
30,947,860
|
$
|
3,684,234
|
$
|
-
|
$
|
34,632,094
|
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
7. | Investments |
|
2013
|
2012
|
||||||
|
||||||||
Putnam S & P 500 Index Fund, 107,185 and 0 shares, respectively
|
$
|
5,913,370
|
$
|
-
|
||||
Putnam Equity Income A Fund 265,972 and 0 shares, respectively
|
$
|
5,444,456
|
$
|
-
|
||||
Columbia Acorn Fund – A, 150,676 and 159,355 shares, respectively
|
$
|
5,391,187
|
$
|
4,678,649
|
||||
Fidelity Low Priced Stock Fund, 68,587 and 58,835 shares, respectively
|
$
|
3,392,323
|
$
|
2,323,987
|
||||
Putnam Stable Value Fund, 3,143,685 and 0 shares, respectively (A)
|
$
|
3,184,903
|
$
|
-
|
||||
PIMCO Total Return Fund A, 248,389 and 268,309 shares, respectively
|
$
|
2,655,275
|
$
|
3,015,788
|
||||
Franklin Growth Fund A, 37,645 and 36,149 shares, respectively
|
$
|
2,453,728
|
$
|
1,829,494
|
||||
Harbor International Fund-Inv, 33,428 and 33,200 shares, respectively
|
$
|
2,351,018
|
$
|
2,043,478
|
||||
DWS Equity 500 Index Fund S, 0 and 30,502 shares, respectively
|
$
|
-
|
$
|
4,876,723
|
||||
MFS Value Fund A, 0 and 173,904 shares, respectively
|
$
|
-
|
$
|
4,408,478
|
||||
SEI Trust Company Fixed Fund Institutional, 0 and 3,600,834 shares, respectively (B)
|
$
|
-
|
$
|
3,684,234
|
(A) | The contract value the Putnam Stable Value fund at December 31, 2013 amounted to $3,143,685 ($0 – 2012). |
(B) | The contract value of the SEI Trust Company Fixed fund at December 31, 2013 amounted to $0 ($3,600,834 – 2012). |
|
2013
|
2012
|
||||||
|
||||||||
Mutual funds
|
$
|
4,924,531
|
$
|
2,804,796
|
||||
|
||||||||
Self Directed Brokerage access account:
|
||||||||
Common stock
|
274,464
|
71,032
|
||||||
Mutual fund
|
60,996
|
57,056
|
||||||
Unit investment trust
|
29,530
|
5,501
|
||||||
Preferred stock
|
51
|
5,310
|
||||||
|
||||||||
Total brokerage access account
|
365,041
|
138,899
|
||||||
|
||||||||
Unitized stock fund
|
1,673
|
(200,317
|
)
|
|||||
|
||||||||
Common collective trust funds
|
797,982
|
(71
|
)
|
|||||
|
||||||||
|
$
|
6,089,227
|
$
|
2,743,307
|
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
8.
|
Transactions with Parties-in-Interest
|
|
December 31, 2013
|
December 31, 2012
|
||||||||||||||
|
Number of Shares
|
Fair
Value
|
Number of Shares
|
Fair
Value
|
||||||||||||
|
||||||||||||||||
Unitized Stock Fund
|
||||||||||||||||
Ecology and Environment, Inc.
|
||||||||||||||||
Common Stock
|
36,627
|
$
|
407,659
|
31,648
|
$
|
351,926
|
||||||||||
|
||||||||||||||||
Brokerage Access Account
|
||||||||||||||||
Ecology and Environment, Inc.
|
||||||||||||||||
Common Stock
|
6,265
|
$
|
68,915
|
6,324
|
$
|
70,324
|
Ecology and Environment, Inc.
|
401(k) Plan
|
Notes to Financial Statements
|
December 31, 2013 and 2012
|
9.
|
Reconciliation of Financial Statements to Form 5500
|
|
2013
|
2012
|
||||||
|
||||||||
Net assets available for benefits per the financial statements
|
$
|
41,453,143
|
$
|
34,930,092
|
||||
|
||||||||
Adjustment from contract value to fair value for fully benefit responsive investment contracts
|
41,218
|
83,400
|
||||||
|
||||||||
Net assets available for benefits per the Form 5500
|
$
|
41,494,361
|
$
|
35,013,492
|
||||
Net increase in net assets per the financial statements
|
$
|
6,523,051
|
$
|
4,647,347
|
||||
|
||||||||
Adjustment from contract value to fair value for fully benefit responsive investment contracts
|
(42,182
|
)
|
89,312
|
|||||
|
||||||||
Net increase in net assets per the Form 5500
|
$
|
6,480,869
|
$
|
4,736,659
|
Ecology and Environment, Inc.
401(k) Plan
EIN: 16-0971022
PLAN NUMBER: 003
|
|
(c) Description of Investment
|
|||||||||||
|
Including Maturity Date,
|
|||||||||||
(b) Identity of Issue
|
Rate of Interest,
|
|||||||||||
Borrower, Lessor
|
Collateral, Par, or
|
|||||||||||
(a) Shares
|
or Similar Party
|
Maturity Value
|
(d) Cost
|
(e) Current Value
|
||||||||
|
|
|||||||||||
Mutual Funds:
|
||||||||||||
*
|
265,972
|
Putnam
|
Equity Income A
|
**
|
$
|
5,444,456
|
||||||
150,676
|
Columbia
|
Acorn Fund A
|
**
|
5,391,187
|
||||||||
68,587
|
Fidelity
|
Low Priced Stock Fund
|
**
|
3,392,323
|
||||||||
248,389
|
PIMCO
|
Total Return Fund A
|
**
|
2,655,275
|
||||||||
37,645
|
Franklin
|
Franklin Growth Fund A
|
**
|
2,453,728
|
||||||||
33,428
|
Harbor
|
Harbor International Fund Inv
|
**
|
2,351,018
|
||||||||
61,747
|
MFS
|
Aggressive Growth Allocation Fund A
|
**
|
1,183,063
|
||||||||
49,908
|
MFS
|
Growth Allocation Fund A
|
**
|
887,366
|
||||||||
45,316
|
MFS
|
Total Return Fund A
|
**
|
796,664
|
||||||||
34,590
|
T. Rowe Price
|
Retirement 2030 Fund
|
**
|
776,195
|
||||||||
43,976
|
MFS
|
Moderate Allocation Fund A
|
**
|
714,176
|
||||||||
29,467
|
T. Rowe Price
|
Retirement 2020 Fund
|
**
|
597,297
|
||||||||
12,105
|
Victory
|
Small Company Opportunity Fund A
|
**
|
486,871
|
||||||||
16,523
|
Clearbridge
|
Small Cap Growth A
|
**
|
468,928
|
||||||||
19,657
|
T. Rowe Price
|
Retirement 2040 Fund
|
**
|
457,036
|
||||||||
19,846
|
Neuberger Berman
|
Socially Responsible Fund
|
**
|
454,867
|
||||||||
24,626
|
American Century
|
Inflation Adj Bond Adv
|
**
|
282,949
|
||||||||
18,465
|
MFS
|
Conservative Allocation Fund A
|
**
|
265,340
|
||||||||
10,109
|
Janus Adviser
|
Perkins Mid Cap Value Fund A
|
**
|
236,046
|
||||||||
11,438
|
T. Rowe Price
|
Retirement 2050 Fund
|
**
|
148,355
|
||||||||
8,804
|
T. Rowe Price
|
Retirement 2035 Fund
|
**
|
142,797
|
||||||||
5,549
|
T. Rowe Price
|
Retirement 2010 Fund
|
**
|
98,393
|
||||||||
2,600
|
T. Rowe Price
|
Retirement Income Advantage
|
**
|
38,448
|
||||||||
1,655
|
T. Rowe Price
|
Retirement 2025 Fund
|
**
|
25,331
|
||||||||
720
|
T. Rowe Price
|
Retirement 2045 Fund
|
**
|
11,178
|
||||||||
42
|
T. Rowe Price
|
Retirement 2015 Fund
|
**
|
599
|
||||||||
28
|
T. Rowe Price
|
Retirement 2055 Fund
|
**
|
355
|
||||||||
|
Total Mutual Funds
|
29,760,241
|
||||||||||
Common Collective Trust Funds:
|
||||||||||||
*
|
107,185
|
Putnam
|
S&P 500 Index
|
**
|
5,913,370
|
|||||||
*
|
3,143,685
|
Putnam
|
Stable Value Fund
|
**
|
|
3,184,903
|
||||||
|
Total Common Collective Trust Funds
|
9,098,273
|
||||||||||
|
|
|||||||||||
Unitized Stock Fund:
|
||||||||||||
*
|
36,627
|
Unitized Stock Fund
|
Ecology and Environment, Inc.
|
**
|
407,659
|
|||||||
-
|
Unitized Stock Fund
|
Federated Government Prime Obligation Fund
|
**
|
74,487
|
||||||||
|
Total Unitized Stock Fund
|
482,146
|
(c) Description of Investment
|
|||||||||||||||
Including Maturity Date,
|
|||||||||||||||
(b) Identity of Issue
|
Rate of Interest,
|
||||||||||||||
Borrower, Lessor
|
Collateral, Par, or
|
||||||||||||||
(a) Shares
|
or Similar Party
|
Maturity Value
|
(d) Cost
|
(e) Current Value
|
|||||||||||
Brokerage Access Account:
|
|||||||||||||||
Cash and Cash Equivalents
|
|||||||||||||||
413,395
|
-
|
Schwab Money Market Fund
|
**
|
413,395
|
|||||||||||
-
|
-
|
Cash
|
**
|
971
|
|||||||||||
|
414,366
|
||||||||||||||
|
|||||||||||||||
Common Stock | |||||||||||||||
800
|
-
|
Continental Resources
|
**
|
90,016
|
|||||||||||
*
|
6,265
|
-
|
Ecology and Environment, Inc
|
**
|
68,915
|
||||||||||
1,500
|
-
|
Centurylink Inc
|
**
|
47,775
|
|||||||||||
800
|
-
|
Vodafone Group New ADR
|
**
|
31,448
|
|||||||||||
300
|
-
|
Western Digital Corp
|
**
|
25,170
|
|||||||||||
333
|
-
|
Duke Energy Corp
|
**
|
22,980
|
|||||||||||
620
|
-
|
General Electric Company
|
**
|
17,379
|
|||||||||||
132
|
-
|
Chevron Corporation
|
**
|
16,488
|
|||||||||||
2,000
|
-
|
Just Energy Group Inc
|
**
|
14,320
|
|||||||||||
1,000
|
-
|
Cons Water Co Inc Ord
|
**
|
14,100
|
|||||||||||
628
|
-
|
Hydrogenics Corp
|
**
|
12,026
|
|||||||||||
500
|
-
|
Pitney Bowes Inc
|
**
|
11,650
|
|||||||||||
15,000
|
-
|
Makism 3D Corp
|
**
|
11,250
|
|||||||||||
500
|
-
|
Delta Nat Gas Inc
|
**
|
11,190
|
|||||||||||
1,000
|
-
|
Alcoa Inc
|
**
|
10,630
|
|||||||||||
1,000
|
-
|
First Niagara Finl New
|
**
|
10,620
|
|||||||||||
2,777
|
-
|
Renesola Ltd Adr
|
**
|
9,581
|
|||||||||||
500
|
-
|
Corning Inc
|
**
|
8,910
|
|||||||||||
500
|
-
|
Ford Motor Company New
|
**
|
7,715
|
|||||||||||
175
|
-
|
Yandex NV Class A
|
**
|
7,551
|
|||||||||||
2,000
|
-
|
Sirius XM Radio Inc
|
**
|
6,980
|
|||||||||||
16,900
|
-
|
Vasomedical Inc
|
**
|
5,746
|
|||||||||||
100
|
-
|
Citgroup Inc New
|
**
|
5,227
|
|||||||||||
200
|
-
|
Masco Corp
|
**
|
4,554
|
|||||||||||
100
|
-
|
Retailmenot Inc
|
**
|
2,879
|
|||||||||||
50
|
-
|
Facebook Inc Class A
|
**
|
2,732
|
|||||||||||
110
|
-
|
Clean Energy Fuels Corp
|
**
|
1,417
|
|||||||||||
429
|
-
|
Chimera Invt Corp
|
**
|
1,329
|
|||||||||||
1,000
|
-
|
Capstone Turbine Corp
|
**
|
1,290
|
|||||||||||
100
|
-
|
Jamba Inc New
|
**
|
1,243
|
|||||||||||
10
|
-
|
ETFS Gold TR
|
**
|
1,184
|
|||||||||||
18
|
-
|
Citrix Systems Inc
|
**
|
1,139
|
|||||||||||
91
|
-
|
Kodiak Oil & Gas Corp
|
**
|
1,020
|
|||||||||||
23
|
-
|
Bonanza Creek Energy
|
**
|
1,000
|
|||||||||||
25
|
-
|
Microsoft Corp
|
**
|
935
|
|||||||||||
75
|
-
|
Realnetworks Inc New
|
**
|
566
|
|||||||||||
950
|
-
|
Suntech Power Holdings Co
|
**
|
494
|
|||||||||||
50
|
-
|
Contango Ore Inc
|
**
|
473
|
|||||||||||
150
|
-
|
Cal Dive International
|
**
|
302
|
|||||||||||
|
490,224
|
(c) Description of Investment
|
|||||||||||||||
Including Maturity Date,
|
|||||||||||||||
(b) Identity of Issue
|
Rate of Interest,
|
||||||||||||||
Borrower, Lessor
|
Collateral, Par, or
|
||||||||||||||
(a) Shares
|
or Similar Party
|
Maturity Value
|
(d) Cost
|
(e) Current Value
|
|||||||||||
|
|||||||||||||||
Mutual Funds
|
|||||||||||||||
3,849
|
-
|
Vanguard Total Stock Market Index Signal
|
**
|
173,423
|
|||||||||||
3,735
|
-
|
Icon Energy Fund Class S
|
**
|
86,797
|
|||||||||||
5,772
|
-
|
First Eagle Gold Fund Class A
|
**
|
83,745
|
|||||||||||
609
|
-
|
Brown Cap Mgmt Small Co Fund
|
**
|
45,128
|
|||||||||||
1,290
|
-
|
T Rowe Price Capital Appreciation Fund
|
**
|
33,090
|
|||||||||||
694
|
-
|
CGM Focus Fund
|
**
|
27,983
|
|||||||||||
907
|
-
|
Yacktman Focused Fund
|
**
|
22,805
|
|||||||||||
486
|
-
|
Fidelity Leveraged Company Stock Fund
|
**
|
21,029
|
|||||||||||
722
|
-
|
Vanguard Target Retirement 2040 Fund
|
**
|
20,440
|
|||||||||||
591
|
-
|
Vanguard Equity Income Fund Inc
|
**
|
17,602
|
|||||||||||
1,232
|
-
|
Pimco Income D
|
**
|
15,110
|
|||||||||||
1,414
|
-
|
Metropolitan West Total Return BD M
|
**
|
14,922
|
|||||||||||
1,305
|
-
|
Vanguard Short Term Bond Index
|
**
|
13,688
|
|||||||||||
763
|
-
|
Matthews Asia Dividend Fund
|
**
|
11,898
|
|||||||||||
395
|
-
|
Schwab Small Cap Index Select
|
**
|
10,895
|
|||||||||||
1,456
|
-
|
Pioneer Floating Rate
|
**
|
10,116
|
|||||||||||
880
|
-
|
Pioneer Strategic Income Fund Class A
|
**
|
9,507
|
|||||||||||
615
|
-
|
Powershs Exch Trad Fund Tr
|
**
|
3,930
|
|||||||||||
228
|
-
|
Lazard Intl Strategic
|
**
|
3,328
|
|||||||||||
27
|
-
|
Dreyfus Midcap Index Fund
|
**
|
1,005
|
|||||||||||
|
626,441
|
||||||||||||||
Unit Investment Trusts
|
|||||||||||||||
681
|
-
|
Schw US LCAP Val ETF
|
**
|
27,731
|
|||||||||||
435
|
-
|
Schwab ETFS-US Small Cap ETF
|
**
|
22,841
|
|||||||||||
590
|
-
|
Sch US Mid-Cap ETF
|
**
|
22,101
|
|||||||||||
216
|
-
|
Powershares QQQ Trust Ser 1
|
**
|
19,033
|
|||||||||||
253
|
-
|
Schwab ETFS-US Large Cap ETF
|
**
|
11,139
|
|||||||||||
144
|
-
|
Sch US Div Equity ET
|
**
|
5,278
|
|||||||||||
238
|
-
|
First TR Exch Traded Fd
|
**
|
4,265
|
|||||||||||
60
|
-
|
Market Vectors ETF Trust
|
**
|
3,269
|
|||||||||||
48
|
-
|
Market Vectors New ETF
|
**
|
2,686
|
|||||||||||
200
|
-
|
Ishares Trust S&P Global
|
**
|
2,088
|
|||||||||||
58
|
-
|
Guggenheim ETF New Solar Energy
|
**
|
2,040
|
|||||||||||
50
|
-
|
Alps Trust ETF
|
**
|
890
|
|||||||||||
|
123,361
|
||||||||||||||
Preferred Stock | |||||||||||||||
1,000
|
-
|
M&T Cap TR 8.5% 1/31/68
|
**
|
26,000
|
|||||||||||
1,000
|
-
|
Deutsche BK Cap 7.6% PFD
|
**
|
25,960
|
|||||||||||
|
51,960
|
||||||||||||||
|
|||||||||||||||
Total Brokerage Account
|
1,706,352
|
||||||||||||||
Participant Loans:
|
|||||||||||||||
*
|
-
|
Notes receivable from participants with
|
|||||||||||||
interest rates ranging from 4.25% - 10.50%
|
-0-
|
447,349
|
|||||||||||||
|
$
|
41,494,361
|
*
|
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, 2014
|
By:
|
|
/s/ Ronald L. Frank
|
|
|
|
Ronald L. Frank
Committee Member
|