-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BYnyt7qmFRUpswqbCRwyrsX1b8pjZeds1sV+IG2R333B9S+4xnWSOKDek8SvlDIi 2UMRgtPwmCuvRfpxuAyYHw== 0001085146-09-002278.txt : 20090515 0001085146-09-002278.hdr.sgml : 20090515 20090515161516 ACCESSION NUMBER: 0001085146-09-002278 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001269119 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10748 FILM NUMBER: 09833227 MAIL ADDRESS: STREET 1: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 oam1q09.txt OPPENHEIMER ASSET MANAGEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Oppenheimer Asset Management Inc. Address: 200 Park Avenue New York, NY 10166 13F File Number: 28-10748 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Deborah Kaback Title: Senior Vice President Phone: 212.667.4395 Signature, Place, and Date of Signing: /s/ Deborah Kaback New York, NY May 14, 2009 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ X] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-10451 Alkeon Capital Management, LLC 28-06443 Eden Capital Management Partners LP 28-04503 Ridgecrest Investment Management 28-04847 KBW Asset Management, Inc 28-11296 PENN Capital Management Co, Inc. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 24 Form13F Information Table Value Total: $1,972 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AGERE SYS INC NOTE 6.500%12/1 00845VAA8 14 14 PRN SOLE 14 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 0 19 PRN SOLE 19 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 6 2000 SH SOLE 2000 0 0 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 106 8000 SH SOLE 8000 0 0 CAPITAL PRODUCT PARTNERS L P COM UNIT LP Y11082107 8 1300 SH SOLE 1300 0 0 COLLEGIATE PACIFIC INC NOTE 5.750%12/0 194589AB3 24 26 PRN SOLE 26 0 0 CONEXANT SYSTEMS INC NOTE 4.000% 3/0 207142AH3 390 2000000 PRN SOLE 2000000 0 0 FEDERAL MOGUL CORP COM 313549404 147 22000 PRN SOLE 22000 0 0 HEIDRICK & STRUGGLES INTL IN COM 422819102 8 500 SH SOLE 500 0 0 ISHARES TR NASDQ BIO INDX 464287556 14 200 SH SOLE 200 0 0 PARAGON SHIPPING INC CL A 69913R309 4 900 SH SOLE 900 0 0 PROSHARES TR PSHS SHRT S&P500 74347R503 780 10000 PRN SOLE 10000 0 0 PROSHARES TR PSHS SH MDCAP400 74347R800 389 5500 PRN SOLE 5500 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 8 1270 SH SOLE 1270 0 0 SIMON PPTY GROUP INC NEW COM 828806109 0 4 SH SOLE 4 0 0 SIX FLAGS INC PIERS 83001P505 10 15000 PRN SOLE 15000 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 4 600 SH SOLE 600 0 0 TUESDAY MORNING CORP COM NEW 899035505 4 2700 SH SOLE 2700 0 0 ULTRA PETROLEUM CORP COM 903914109 10 300 SH SOLE 300 0 0 UNITEDHEALTH GROUP INC COM 91324P102 10 450 SH SOLE 450 0 0 VIACOM INC NEW CL B 92553P201 4 250 SH SOLE 250 0 0 VOLCOM INC COM 92864N101 4 500 SH SOLE 500 0 0 WESTERN ASSET HIGH INCM FD I COM 95766J102 6 1100 SH SOLE 1100 0 0 WESTERN ASSETT MGD HI INCM F COM 95766L107 22 5000 SH SOLE 5000 0 0
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