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.
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. |