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EX-99.1 - EX-99.1 - OPPENHEIMER HOLDINGS INCy90544exv99w1.htm
EX-99.2 - EX-99.2 - OPPENHEIMER HOLDINGS INCy90544exv99w2.htm
Table of Contents

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): March 30, 2011
Oppenheimer Holdings Inc.
(Exact Name of Registrant as Specified in Charter)
         
Delaware   1-12043   98-0080034
(State or Other   (Commission File Number)   (I.R.S. Employer
Jurisdiction       Identification No.)
of Incorporation)        
125 Broad Street
New York, New York 10004

(Address of Principal Executive Offices) (Zip Code)
(212) 668-8000
(Registrant’s telephone number, including area code)
None
(Former Name or Former Address, if Changed Since
Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


TABLE OF CONTENTS

Item 7.01. Regulation FD Disclosure
Item 8.01 Other Events
Item 9.01 Financial Statements and Exhibits
SIGNATURE
INDEX TO EXHIBITS
EX-99.1
EX-99.2


Table of Contents

Item 7.01. Regulation FD Disclosure.
          In connection with the offering described below, Oppenheimer Holdings Inc., a Delaware corporation (the “Company”) is furnishing under Item 7.01 of this Current Report on Form 8-K certain information with respect to the Company that has not previously been reported to the public. This information is attached hereto as Exhibit 99.1 and is incorporated by reference herein.
          The information disclosed under this Item 7.01, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Exchange Act of 1934, as amended, nor shall it be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended (the “Securities Act”), except as expressly set forth in such filing.
Item 8.01 Other Events.
          On March 30, 2011, the Company issued a press release announcing a private offering of up to $200,000,000 aggregate principal amount of senior secured notes due 2018, subject to market and other conditions. A copy of this press release is filed herewith as Exhibit 99.2 and incorporated herein by reference.
          The notes and the related guarantees have not been registered under the Securities Act of 1933, as amended, and may not be offered in the United States absent registration or an applicable exemption from registration requirements.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
     
Exhibit Number   Exhibit
99.1
  Certain information with respect to the Company that has not previously been reported to the public.
 
   
99.2
  Press Release issued March 30, 2011.

 


Table of Contents

SIGNATURE
          Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
  Oppenheimer Holdings Inc.
 
 
  By:      /s/ E.K. Roberts  
    Name:     E.K. Roberts  
    Title:    President and Treasurer
(Duly Authorized Officer and Principal Financial Officer)
 
 
Date: March 30, 2011.

 


Table of Contents

INDEX TO EXHIBITS
     
Exhibit Number   Exhibit
99.1
  Certain information with respect to the Company that has not previously been reported to the public.
 
   
99.2
  Press Release issued March 30, 2011.