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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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12/17/13 NYSE Chicago, Inc. 19B-4E 12/17/13 1:1K SEC #7
12/17/13 NYSE Chicago, Inc. 19B-4E 12/17/13 1:1K SEC #7
12/17/13 NYSE Chicago, Inc. 19B-4E 12/17/13 1:1K SEC #7
12/17/13 NYSE Arca, Inc. 19B-4E 12/17/13 1:2K SEC #7
12/17/13 NYSE Arca, Inc. 19B-4E 12/17/13 1:2K SEC #7
12/17/13 NYSE Arca, Inc. 19B-4E 12/17/13 1:2K SEC #7
12/17/13 Sterne, Agee & Leach, Inc. FOCUSN 9/30/13 1:2K SEC #7
12/17/13 Plexus Corp. ARS 9/28/13 1:2K SEC #7
12/17/13 Model N, Inc. ARS 9/30/13 1:2K SEC #7
12/17/13 Apple Inc. NO ACT 10/18/13 1:2K SEC #7
12/17/13 Elan Corp. plc NO ACT 12/17/13 1:2K SEC #7
12/17/13 Perrigo Co. plc NO ACT 12/17/13 1:2K SEC #7
12/17/13 Perrigo Co. NO ACT 12/17/13 1:2K SEC #7
12/17/13 WisdomTree Trust CERTNAS 12/17/13 1:2K SEC #7
12/17/13‡ Numis Securities Inc. X-17A-5 9/30/13 1:2K SEC #7
12/17/13‡ Capitol Federal Financial, Inc. ARS 9/30/13 1:2K SEC #7
12/17/13‡ Ashland LLC ARS 9/30/13 1:2K SEC #7
12/17/13‡ Meridian Bioscience Inc. ARS 9/30/13 1:2K SEC #7
12/17/13 WisdomTree Trust CERTNAS 12/17/13 1:2K SEC #7
12/17/13 WisdomTree Trust CERTNAS 12/17/13 1:2K SEC #7
| ____________ | | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | | ¹ | Filing/Form Types: -Q | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | ARS | Annual Report to Security Holders. | | CERTNAS | Certification by the Nasdaq Stock Market Approving a Listing — Form CERT. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | NO ACT | SEC No-Action Letter re: a Shareholder Proposal. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
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