Oppenheimer Holdings Files 8-K for Routine Registration Update

TL;DR

**Oppenheimer filed a routine 8-K for registration compliance, nothing major.**

AI Summary

Oppenheimer Holdings Inc. filed an 8-K on January 29, 2024, primarily to update its registration statement for its Class A non-voting Common Stock, which trades under the symbol 'OPY' on an unspecified exchange. This filing indicates a routine update to ensure compliance with SEC regulations, specifically referencing Section 13 or 15(d) of the Securities Exchange Act of 1934. For investors, this matters because it confirms the company is maintaining its public listing and adhering to disclosure requirements, which is a basic expectation for any publicly traded stock.

Why It Matters

This filing is a standard compliance update, ensuring Oppenheimer Holdings Inc. maintains its public listing and transparency, which is crucial for investor confidence.

Risk Assessment

Risk Level: low — This 8-K is a routine administrative filing for compliance, indicating no new significant risks or events.

Analyst Insight

A smart investor would view this as a routine administrative filing, indicating ongoing compliance but not signaling any immediate investment action or change in company fundamentals.

Key Players & Entities

• OPPENHEIMER HOLDINGS INC. (company) — the registrant filing the 8-K
• January 29, 2024 (date) — date of earliest event reported and filing date
• 1-12043 (dollar_amount) — Commission File Number for Oppenheimer Holdings Inc.
• 98-0080034 (dollar_amount) — I.R.S. Employer Identification No. for Oppenheimer Holdings Inc.
• 85 Broad Street New York, New York 10004 (company) — address of principal executive offices for Oppenheimer Holdings Inc.
• (212) 668-8000 (dollar_amount) — registrant's telephone number
• Class A non-voting Common Stock (company) — type of security registered
• OPY (company) — trading symbol for Oppenheimer Holdings Inc.

FAQ

Filing Documents

• opy-20240129.htm (8-K) — 27KB
• opyq42023investorpresent.htm (EX-99.1) — 21KB
• opyq42023investorpresent001.jpg (GRAPHIC) — 102KB
• opyq42023investorpresent002.jpg (GRAPHIC) — 282KB
• opyq42023investorpresent003.jpg (GRAPHIC) — 158KB
• opyq42023investorpresent004.jpg (GRAPHIC) — 197KB
• opyq42023investorpresent005.jpg (GRAPHIC) — 227KB
• opyq42023investorpresent006.jpg (GRAPHIC) — 104KB
• opyq42023investorpresent007.jpg (GRAPHIC) — 101KB
• opyq42023investorpresent008.jpg (GRAPHIC) — 101KB
• opyq42023investorpresent009.jpg (GRAPHIC) — 140KB
• opyq42023investorpresent010.jpg (GRAPHIC) — 138KB
• opyq42023investorpresent011.jpg (GRAPHIC) — 137KB
• opyq42023investorpresent012.jpg (GRAPHIC) — 225KB
• opyq42023investorpresent013.jpg (GRAPHIC) — 39KB
• 0000791963-24-000009.txt ( ) — 2870KB
• opy-20240129.xsd (EX-101.SCH) — 2KB
• opy-20240129_lab.xml (EX-101.LAB) — 24KB
• opy-20240129_pre.xml (EX-101.PRE) — 12KB
• opy-20240129_htm.xml (XML) — 3KB

01 Regulation FD Disclosure

ITEM 7.01 Regulation FD Disclosure. On January 29, 2024 , Oppenheimer Holdings Inc. (the "Company") posted to the Investor Relations page of its website, www.oppenheimer.com, a presentation to investors regarding the Company in the form of the slides containing the information attached to this Current Report on Form 8-K as Exhibit 99.1 (the "Slides"). The Company may use the Slides, in whole or in part, and possibly with minor modifications, in connection with presentations to investors after such date. By filing this Current Report on Form 8-K and furnishing the information contained herein, the Company makes no admission as to the materiality of any information in this report that is required to be disclosed solely by reason of Regulation FD. The information contained in the Slides is summary information that is intended to be considered in the context of the Company's Securities and Exchange Commission ("SEC") filings and other public announcements that the Company may make, by press release or otherwise, from time to time. The Company undertakes no duty or obligation to publicly update or revise the information contained in this report, although it may do so from time to time as its management believes is warranted. Any such updating may be made through the filing of other reports or documents with the SEC, through press releases or through other public disclosure. In accordance with General Instruction B.2 of this Current Report on Form 8-K, the information presented in Item 7.01 of this Current Report on Form 8-K and Exhibit 99.1 shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, unless the Company specifically states that the information is to be considered "filed" under the Exchange Act or incorporates it by reference into a filing under the Securities Act of 1933, as amended, or the Exchange Act. SECTION 9 – F

01. Financial Statements and Exhibits

ITEM 9.01. Financial Statements and Exhibits. (d) Exhibits: The following Exhibit is submitted herewith: 99.1 Investor Presentation (Fourth Quarter and Full Year 2023 Investor Update) posted on January 29, 2024 2

SIGNATURES

SIGNATURES 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/ Brad M. Watkins --------------------------------- Brad M. Watkins Chief Financial Officer (Duly Authorized Officer and Principal Financial and Accounting Officer) 3 EXHIBIT INDEX Exhibit Number Description 99.1 Investor Presentation (Fourth Quarter and Full Year 202 3 Investor Update) posted on January 29 , 202 4 4

View Full Filing

View this 8-K filing on SEC EDGAR