Attached files
| file | filename |
|---|---|
| EXCEL - IDEA: XBRL DOCUMENT - OPPENHEIMER HOLDINGS INC | Financial_Report.xls |
Table of Contents
As filed with the Securities and Exchange Commission on August 10, 2011.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
Amendment No. 1
| þ | QUARTERLY REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Quarterly Period ended June 30, 2011
or
| o | TRANSITION REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission File Number: 1-12043
OPPENHEIMER HOLDINGS INC.
(Exact name of registrant as specified in its charter)
| Delaware | 98-0080034 | |
| (State or other jurisdiction of | (I.R.S. Employer | |
| incorporation or organization) | Identification No.) |
125 Broad Street
New York, New York 10004
(Address of principal executive offices) (Zip Code)
New York, New York 10004
(Address of principal executive offices) (Zip Code)
(212) 668-8000
(Registrant’s telephone number, including area code)
(Registrant’s telephone number, including area code)
None
(Former name, former address and former fiscal year, if changed since last report)
(Former name, former address and former fiscal year, if changed since last report)
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed
by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or
for such shorter period that the registrant was required to file such reports), and (2) has been
subject to such filing requirements for the past 90 days. Yes þ No o
Indicate by check mark whether the registrant has submitted electronically and posted on its
corporate Web site, if any, every Interactive Data File required to be submitted and posted
pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months
(or for such shorter period that the registrant was required to submit and post such files). þ
Yes o No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large
accelerated filer”, “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the
Exchange Act. (Check one):
| Large accelerated filer o | Accelerated filer þ | Non-accelerated filer o | Smaller reporting company o |
Indicate by a check mark whether the registrant is a shell company (as defined in Rule 12b-2
of the Exchange Act). Yes o No þ
The number of shares of the Company’s Class A non-voting common stock and Class B voting
common stock (being the only classes of common stock of the Company) outstanding on July 29, 2011
was 13,570,945 and 99,680 shares, respectively.
TABLE OF CONTENTS
Table of Contents
EXPLANATORY NOTE
The Company is amending its Quarterly Report on Form 10-Q for the quarterly period ended June 30,
2011 to add Exhibit 101 consisting of its interactive data files pursuant to Rule 405 of Regulation
S-T.
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Table of Contents
PART II
OTHER INFORMATION
OTHER INFORMATION
| ITEM 6. | Exhibits |
(d) Exhibits
| 101 | Interactive data files pursuant to Rule 405 of Regulation S-T: (i) the Condensed Consolidated Balance Sheets as of June 30, 2011 and
December 31, 2010, (ii) the Condensed Consolidated Statements of
Operations for the three and six months ended June 30, 2011 and June
30, 2010, (iii) the Condensed Consolidated Statements of Comprehensive
Income for the three and six months ended June 30, 2011 and June 30,
2010, (iv) the Condensed Consolidated Statements of Cash Flows for the
six months ended June 30, 2011 and June 30, 2010, (v) the Condensed
Consolidated Statements of Changes in Equity for the six months ended
June 30, 2011 and June 30, 2010, and (vi) the notes to the Condensed
Consolidated Financial Statements.*
|
| * | This information is furnished and not filed for purposes of Sections
11 and 12 of the Securities Act of 1933 and Section 18 of the
Securities Exchange Act of 1934.
|
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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 thereunto duly authorized, in the
City of New York, New York on this 10th day of August, 2011.
| OPPENHEIMER HOLDINGS INC. |
||||
| By: | “A.G. Lowenthal” | |||
| A.G. Lowenthal, Chairman and Chief Executive Officer | ||||
| (Principal Executive Officer) | ||||
| By: | “E.K. Roberts” | |||
| E.K. Roberts, President and Treasurer | ||||
| (Principal Financial and Accounting Officer) | ||||
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