0001130381-13-000010.txt : 20130219 0001130381-13-000010.hdr.sgml : 20130219 20130214220511 ACCESSION NUMBER: 0001130381-13-000010 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130215 DATE AS OF CHANGE: 20130214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Willdan Group, Inc. CENTRAL INDEX KEY: 0001370450 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING SERVICES [8711] IRS NUMBER: 141951112 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82357 FILM NUMBER: 13617380 BUSINESS ADDRESS: STREET 1: 2401 EAST KATELLA AVENUE, SUITE 300 CITY: ANAHEIM STATE: CA ZIP: 92806 BUSINESS PHONE: 800-424-9144 MAIL ADDRESS: STREET 1: 2401 EAST KATELLA AVENUE, SUITE 300 CITY: ANAHEIM STATE: CA ZIP: 92806 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WEDBUSH, Inc. CENTRAL INDEX KEY: 0001130381 IRS NUMBER: 953565499 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1000 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2136888080 MAIL ADDRESS: STREET 1: 1000 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90017 FORMER COMPANY: FORMER CONFORMED NAME: E CAPITAL CORP DATE OF NAME CHANGE: 20001221 SC 13G/A 1 wldn2013.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE13GA* Under the Securities Exchange Act of 1934 (Amendment No__3__)* Willdan Group, Inc. --------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 --------------------------------------------------------------------- (Title of Class of Securities) 96924N100 ----------------- (CUSIP Number) December 31, 2012 --------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /x/ Rule 13d-1(b) /x/ Rule 13d-1(c) / / Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover 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). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1745 (3-98) Page 1 of 9 CUSIP No. 96924N100 -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) WEDBUSH, Inc. --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / --------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------- 4. Citizenship or Place of Organization California --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 171,923 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 707,643 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 171,923 ---------------------------------------------- 8.Shared Dispositive Power 800,189(1) --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 800,189(1) --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9% --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) --------------------------------------------------------------------- CO (1) Includes 343,078 shares of Common Stock, over which Wedbush Securities and Wedbush, Inc has dispositive power. The reporting persons disclaim beneficial ownership over such shares. Page 2 of 9 CUSIP No. 96924N100 -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Edward W. Wedbush --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / --------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------- 4. Citizenship or Place of Organization United States of America --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 185,901 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 891,444 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 185,901 ---------------------------------------------- 8.Shared Dispositive Power 983,990(1) --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 983,990(1) --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 13.4% --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) --------------------------------------------------------------------- IN (1) Includes 343,078 shares of Common Stock, over which Wedbush Securities and Wedbush, Inc has dispositive power. The reporting persons disclaim beneficial ownership over such shares. Page 3 of 9 CUSIP No. 96924N100 -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Wedbush Securities, Inc. --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / --------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------- 6. Citizenship or Place of Organization California --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 285,188 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 285,188 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 285,188 ---------------------------------------------- 8.Shared Dispositive Power 377,734(1) --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 377,734(1) --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 5.1% --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) --------------------------------------------------------------------- BD (1) Includes 92,546 shares of Common Stock, over which Wedbush Securities has dispositive power. The reporting persons disclaim beneficial ownership over such shares. CUSIP No. 96924N100 -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Wedbush Opportunity Capital, LLC --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / --------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 0 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 250,532 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 0 ---------------------------------------------- 8.Shared Dispositive Power 250,532 --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 250,532 --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 3.4% --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) --------------------------------------------------------------------- OO CUSIP No. 96924N100 -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Wedbush Opportunity Partners, LP --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / --------------------------------------------------------------------- 3. SEC Use Only --------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 0 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 250,532 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 0 ---------------------------------------------- 8.Shared Dispositive Power 250,532 --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 250,532 --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 3.4% --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) --------------------------------------------------------------------- PN Page 4 of 9 Cusip No. 96924N100 13G Willdan, Inc. --------------------------------------------------------------------- Item 1. Name and Address of Issuer. (a) This statement relates to the shares of the common stock of Willdan, Inc. ("Issuer"). (b) Issuer's address: 2401 East Katella Avenue, Suite 300 Anaheim, California 92806 Item 2. Filers (a) This statement is filed by WEDBUSH, Inc. ("WI"), Edward W. Wedbush ("EWW"), Wedbush Securities, Inc. ("WS"), Wedbush Opportunity Capital, LLC ("WOC"), and Wedbush Opportunity Partners, LP ("WOP"). (b) Business address of the above filers are as follows: WI - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457 EWW - P.O. Box 30014, Los Angeles, CA 90030-0014 WS - P.O. Box 30014, Los Angeles, CA 90030-0014 WOC - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457 WOP - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457 (c) WI is a California corporation. EWW is a citizen of the United States of America. WS is a California corporation. WOC is a limited liability corporation organized under the laws of the State of Delaware. WOP is a limited partnership organized under the laws of the State of Delaware. (d) Common stock (e) 96924N100 Item 3. Classification of Filers (a) WI is a control person (b) - (j) Not applicable (g) WS is a broker/dealer (b) - (j) Not applicable (b) - (j) Not applicable Page 5 of 9 Item 4. Ownership (a) WI has sole ownership of 171,923 Shares of the Issuer; EWW has sole ownership of 185,901 Shares, WS has sole ownership of 285,188 Shares, WOC has sole ownership of 0 Shares, and WOP has sole ownership of 0 Shares. (b) Of the Shares outstanding, WI owns approximately 2.34%; EWW owns approximately 2.53%; WS owns approximately 3.89%; WOC owns approximately 0.00%; and WOP owns approximately 0.00%. (c) Number of Shares as to which the filer has: (i) Sole power to vote: WI has sole power to vote on 171,923 Shares; EWW has 185,901 sole Shares; WS has 285,188 sole Shares; WOC has 0 sole Shares, and WOC has 0 sole Shares. (ii) Shared power to vote: WI has 707,643 Shares; EWW has 891,444 Shares; WS has 285,188 Shares; WOP has 250,532 Shares; and WOP has 250,532 Shares. (iii) Sole power to dispose: WI has sole power to dispose on 171,923 Shares; EWW has 185,901 Shares to dispose; WS has 285,188 Shares to dispose; WOC has 0 Shares to dispose; and WOP 0 has Shares to dispose. (iv) Shared power to dispose; WI has 800,189 Shares; EWW has 983,990 Shares; WS has 377,734 Shares; WOC has 250,532 Shares; and WOP has 250,532 Shares. Item 5. Ownership of Five Percent or Less of a Class. Not applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another. Not applicable. Item 7. Identification and Classification of Subsidiary which Acquired the Securities Being Reported on by the Parent Holding Company. Not Applicable. Page 6 of 9 Item 8. Identification and Classification of Members of a Group. Name Category No.of Shares Percentage WEDBUSH, Inc. CO 171,923 2.34% Edward W. Wedbush IN 185,901 2.53% Wedbush Securities, Inc. BD 285,188 3.89% Wedbush Opportunity Capital, LLC OO 0 0.00% Wedbush Opportunity Capital, LLC PN 0 0.00% Edward W. Wedbush owns approximately 50% of the issued and outstanding shares of WEDBUSH, Inc., which is the sole shareholder of Wedbush Securities Inc. Mr. Wedbush is also the Chairman of the Board of WEDBUSH, Inc. and the President of Wedbush Securities Inc. WEDBUSH, Inc. is the sole member of Wedbush Asset Management, LLC, a registered investment adviser. Wedbush Asset Management, LLC is the sole member of Wedbush Opportunity Capital, LLC, which is the manager and general partner of Wedbush Opportunity Capital, LP. The foregoing should not be construed as an admission of beneficial ownership of the securities held or controlled by WEDBUSH, Inc., Wedbush Securities Inc., Wedbush Opportunity Partners, LLC or Wedbush Opportunity Capital, LP. Item 9. Notice of Dissolution of Group. Not applicable. Page 7 of 9 Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the Issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. WEDBUSH, Inc. 02/10/13 --------------------------- Date ERIC D. WEDBUSH ------------------ Eric D. Wedbush --------------------------- Signature ERIC D. WEDBUSH ------------------ Eric D. Wedbush/ President --------------------------- Name/Title Edward W. Wedbush 02/10/13 --------------------------- Date EDWARD W. WEDBUSH ------------------ Edward W. Wedbush --------------------------- Signature EDWARD W. WEDBUSH ------------------ Edward W. Wedbush --------------------------- Name/Title Page 8 of 9 Wedbush Securities, Inc. 02/10/13 --------------------------- Date EDWARD W. WEDBUSH ------------------ Edward W. Wedbush --------------------------- Signature Edward W. Wedbush/ President --------------------------- Name/Title Wedbush Opportunity Capital, LLC 02/10/13 --------------------------- Date ERIC D. WEDBUSH ------------------ Eric D. Wedbush --------------------------- Signature ERIC D. WEDBUSH ------------------ Eric D. Wedbush/ Managing Director --------------------------- Name/Title Wedbush Opportunity Partners, LP 02/10/13 --------------------------- Date ERIC D. WEDBUSH ------------------ Eric D. Wedbush --------------------------- Signature ERIC D. WEDBUSH ------------------ Eric D. Wedbush/ Managing Director --------------------------- Name/Title Page 9 of 9