Welcome to our dedicated page for Oppenheimer Hld SEC filings (Ticker: OPY), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Oppenheimer Holdings Inc. (NYSE: OPY) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. As a financial services firm operating in investment banking and securities dealing, Oppenheimer uses SEC filings to report on its financial condition, segment performance, and material corporate events.
Investors can review current reports on Form 8-K, where Oppenheimer discloses items such as quarterly earnings announcements, special and regular dividend declarations, and investor presentations. For example, recent 8-K filings reference press releases detailing second and third quarter earnings, as well as a special cash dividend on Class A non-voting and Class B voting common stock. Other 8-K filings furnished under Regulation FD point to slide decks that supplement the firm’s public communications.
In addition to 8-Ks, Oppenheimer’s broader SEC reporting (such as Forms 10-K and 10-Q, when accessed through EDGAR) typically includes information on Wealth Management and Capital Markets segment results, revenue components like commissions, advisory fees, investment banking income, bank deposit sweep income, and interest, as well as data on stockholders’ equity, regulatory net capital, and tangible book value per share. These documents help readers understand how the firm’s retail brokerage, institutional sales and trading, investment banking, research, and asset management activities contribute to overall performance.
Stock Titan’s filings interface is designed to surface real-time updates from EDGAR and pair them with AI-powered summaries that explain key points in plain language. Users can quickly see what each new OPY filing covers, identify items related to earnings results, dividends, or investor presentations, and navigate directly to the underlying SEC documents for deeper analysis.
Oppenheimer Holdings Inc. reported that Class B stockholders approved all five proposals at the 2026 annual meeting, including electing nine directors, ratifying Deloitte & Touche LLP as auditor, endorsing executive pay, selecting a three‑year say‑on‑pay frequency, and adopting an amended and restated certificate of incorporation.
The company highlighted record 2025 results, with revenue of $1.64 billion, net income of $148.4 million and basic EPS of $14.13, driven by strong wealth management and investment banking performance. For Q1 2026, revenue rose to $445.1 million but Oppenheimer recorded a net loss of $20.6 million and basic EPS of $(1.93), largely reflecting a $70 million accrual for settlement of “cash sweep” class action litigation and a $22.3 million stock appreciation rights expense. On an adjusted non‑GAAP basis, Q1 2026 diluted EPS was $4.21, and the board increased the quarterly dividend to $0.20 per share.
Oppenheimer Holdings Inc. posted a first quarter 2026 investor presentation showing strong revenue growth but a net loss driven by one-time items. Revenue for 1Q-26 was $445.1 million, up 21.0% from 1Q-25, led by a 105.2% jump in investment banking fees, higher commissions and advisory fees.
The company reported a net loss of $20.6 million and basic and diluted GAAP loss per share of $(1.93), compared with earnings per share of $2.93 and $2.72 a year earlier. Results include a $70.0 million pre-tax accrual for settlement of the “cash sweep” class action litigation and a $22.3 million pre-tax expense from liability-based stock appreciation rights.
Excluding these items, adjusted basic earnings per share were $4.46 and adjusted diluted earnings per share were $4.21. As of March 31, 2026, client assets under administration were $139.8 billion and assets under management were $54.1 billion. The board increased the quarterly dividend for 1Q-26 by 11.1% to $0.20 per share.
Oppenheimer Holdings Inc. reported a first quarter 2026 net loss of $20.6 million, or $(1.93) per share, compared with net income of $30.7 million, or $2.93 per share, in the first quarter of 2025. Revenue rose to $445.1 million, up 21.0% from $367.8 million.
The loss was driven by a $70 million pre-tax legal accrual for settlement of the “cash sweep” program litigation and $22.3 million of pre-tax expense for liability-based stock appreciation rights tied to a rise in the share price from $72.29 to $89.19. Excluding these items, adjusted net income was $47.5 million with adjusted basic EPS of $4.46, up from $28.6 million and $2.74 a year earlier. Wealth Management revenue grew 4.8% to $253.7 million but pre-tax income fell 35.8% to $43.6 million, while Capital Markets revenue jumped 53.4% to $189.1 million with pre-tax income of $35.4 million versus a prior-year loss. The Board increased the quarterly dividend by 11.1% to $0.20 per share.
Oppenheimer Holdings Inc. reported a net loss for the three months ended March 31, 2026 after recording a large legal settlement accrual, despite strong revenue growth. Total revenue rose to $445.1 million from $367.8 million, driven by higher commissions, advisory fees and investment banking activity.
The Company posted a pre-tax loss of $27.0 million and a net loss attributable to Oppenheimer of $20.6 million, compared with net income of $30.7 million a year earlier. Results include an accrual of $70.0 million related to settlement of “cash sweep” program litigation. Basic and diluted loss per share were $(1.93), versus earnings per diluted share of $2.72 in the prior-year quarter.
Wealth Management revenue reached $253.7 million and Capital Markets revenue $189.1 million, both higher year over year, but compensation and other expenses increased sharply, including higher share-based compensation and legal costs. Operating cash flow was an outflow of $190.0 million, while the Company increased bank call loans to $287.9 million and maintained total assets of $3.82 billion. Regulatory capital ratios at key subsidiaries remained well above minimum requirements.
Oppenheimer Holdings Inc. announced that its main subsidiary has signed a binding Settlement Term Sheet to resolve a class-action "cash sweep" lawsuit for $70 million, subject to District Court approval. The payment would go into escrow ten business days after preliminary approval.
The case involves alleged issues with cash sweep programs from 2022 through final court approval and is one of about 25 similar cases against financial institutions. Plaintiffs had indicated they would seek damages in excess of $440 million, so the settlement substantially limits potential exposure.
The company will record a reserve for the full settlement in its first fiscal quarter of 2026, significantly affecting reported earnings for that period, even though the agreement was reached after quarter-end. Oppenheimer expects the settlement amount to be fully tax deductible and says the deal includes no admission of liability or wrongdoing.
Oppenheimer Holdings Inc. is asking Class B voting stockholders to approve several items at its virtual Annual Meeting on May 4, 2026. Proposals include electing nine directors, ratifying Deloitte & Touche LLP as 2026 auditors, an advisory vote on executive pay, an advisory vote on how often that say‑on‑pay vote should occur, and approval of an Amended and Restated Certificate of Incorporation.
Only Class B voting common stockholders of record on March 6, 2026 may vote; Class A non‑voting holders may listen, view and submit questions but cannot vote. Chairman A.G. Lowenthal owns 97.5% of the Class B stock and intends to vote in favor of all proposals, effectively determining the outcome. The Board highlights that seven of nine directors are independent, all key committees are fully independent, and director meeting attendance in 2025 was 100%.
Oppenheimer Holdings Inc. director Teresa Glasser reported an equity compensation grant of 1,400 shares of Class A non-voting common stock. The transaction is coded as an “other acquisition or disposition” and carries a price of $0.00 per share, reflecting a restricted stock award.
According to the footnote, the 1,400-share award was granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan. Following this grant, Glasser directly holds a total of 18,400 shares of Class A non-voting common stock.
Oppenheimer Holdings Inc. director Lawrence R. Roth reported an award of 1,400 shares of Class A non-voting common stock on February 26, 2026. The restricted stock was granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan at no stated price, bringing his directly held shares to 18,400.
Oppenheimer Holdings Inc. Secretary Dennis P. McNamara sold shares of the company’s Class A non-voting common stock. On March 2, 2026, he completed an open-market sale of 4,673 shares at an average price of $90.67 per share, leaving him with 20,177 shares held directly after the transaction.
Oppenheimer Holdings Inc. will hold its virtual Annual Meeting of Stockholders on May 4, 2026 at 4:30 P.M. (New York time). Class B voting common stockholders of record as of March 6, 2026 may vote on: (1) election of nine directors; (2) ratification of Deloitte & Touche LLP as auditors for 2026; (3) advisory approval of executive compensation; (4) advisory vote on the frequency (1, 2 or 3 years) of future advisory executive compensation votes; and (5) approval of the Company’s Amended and Restated Certificate of Incorporation. The proxy statement notes that A.G. Lowenthal owns 97.5% of the Class B Stock and intends to vote in favor of Matters 1, 2, 3 and 5 and for a three-year frequency on Matter 4. The Company’s Annual Report on Form 10-K for the year ended December 31, 2025 is available on its website.