Offerings // OPPENHEIMER HOLDINGS INC

OPY offering history

Every offering-related filing in OPPENHEIMER HOLDINGS INC’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 962 filings back to Mar 29, 1996.

Last executed offering

None found

in filings back to Mar 29, 1996

Last registration (announced)

Nov 24, 2020

S-3/A — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Nov 25, 2020	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 25, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 24, 2020	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Nov 24, 2020	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Oct 20, 2020	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 20, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 9, 2020	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Sep 20, 2017	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Sep 20, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 19, 2017	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Sep 19, 2017	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 16, 2017	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 16, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 7, 2017	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 5, 2012	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 16, 2012	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 11, 2011	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jul 12, 2011	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 12, 2011	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jun 16, 2011	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 2, 2009	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 2, 2009	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 26, 2006	RW →	WITHDRAWN	Registration withdrawn
May 13, 2005	RW →	WITHDRAWN	Registration withdrawn

OPY offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full OPY workspace →

OPY offering FAQ

When did OPY last execute an offering?

No executed-offering document (424B pricing supplement or 8-K item 3.02) appears in the 962 filings EDGAR returns for OPPENHEIMER HOLDINGS INC, reviewed back to 1996-03-29.

When did OPY last announce or register an offering?

The most recent registration is a S-3/A filed 2020-11-24. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.