8-K/A 1 regulationfddisclosure9031.htm 8-K/A
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K/A
(AMENDMENT No. 1)
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported): September 2, 2015
OPPENHEIMER HOLDINGS INC.
(Exact Name of Registrant as Specified in Charter)
Commission File Number 1-12043

Delaware 98-0080034 (State of incorporation) (IRS Employer Identification Number) 85 Broad Street, New York, NY 10004 (Address of Principal Executive Offices) (Zip Code) (212) 668-8000 (Registrant’s telephone number, including area code)

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.):
|_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CRF 240.14a-12)
|_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Explanatory Note
This Amendment No. 1 (this “Form 8-K/A”) is an amendment to the Current Report on Form 8-K of Oppenheimer Holdings Inc. (the “Company”), as originally filed with the Securities and Exchange Commission on September 2, 2015 (the “Report”). The Company is filing this Form 8-K/A to correct a typographical error in the presentation to investors attached to the Report as Exhibit 99.1 (the “Slides”). The revised Slides are attached to this Form 8-K/A as Exhibit 99.1. No other modifications to the Report are being made by this Form 8-K/A.
ITEM 9.01. Financial Statements and Exhibits.

(a) | The following Exhibit is submitted herewith.

Exhibit No. Description
99.1 Investor Presentation on or after September 2, 2015

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.

Date: September 3, 2015 By: /s/ Jeffrey J. Alfano --------------------------------- Jeffrey J. Alfano Chief Financial Officer (Duly Authorized Officer and Principal Financial and Accounting Officer)