Oppenheimer Holdings Inc. (NYSE:OPY) Files An 8-K Regulation FD Disclosure
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 Form8-K certain
information with respect to the Company that has not previously
been reported to the public. This information is attached hereto
as Exhibit99.1 and is incorporated by reference herein.
This report shall not constitute an offer to sell or the
solicitation of an offer to buy any securities, nor shall there
be any sale of securities in any jurisdiction in which such
offer, solicitation or sale would be unlawful prior to
registration or qualification under the securities laws of any
The information disclosed under this Item 7.01, including
Exhibit99.1 hereto, is being furnished and shall not be deemed
filed for purposes of Section18 of the Exchange Act of 1934, as
amended, nor shall it be incorporated by reference into any
registration statement or other document to the Securities Act of
1933, as amended (the Securities Act), except as expressly set
forth in such filing.
Item8.01 Other Events.
On June6, 2017, the Company issued a press release announcing a
private offering of up to $200,000,000 aggregate principal amount
of senior secured notes due 2022, subject to market and other
conditions. A copy of this press release is filed herewith as
Exhibit99.2 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 9.01Financial Statements and Exhibits.
Certain information with respect to the Company that has
Press Release issued June6, 2017
About Oppenheimer Holdings Inc. (NYSE:OPY)
Oppenheimer Holdings Inc. is a middle-market investment bank and service broker-dealer. The Company is engaged in a range of activities in the securities industry, including retail securities brokerage, institutional sales and trading, investment banking, research, market-making, trust services, and investment advisory and asset management services. Its segments are Private Client, which provides financial services in the United States; Asset Management, which offers investment advisory services to its retail and institutional clients; Capital Markets, includes investment banking, institutional equities sales, trading, and research, taxable fixed income sales, trading, and research, public finance and municipal trading; Commercial Mortgage Banking, engaged in the business of originating and servicing Federal Housing Administration insured multifamily and healthcare facility loans and securitizing these loans into Government National Mortgage Association mortgage-backed securities.