-----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, CqB6PLWtDxOZH1j5lIhDynLyV53Ip4//iJZJdGfU2CwAmYxe2sBdscCjQuc1kEqC LozeRNrVJoUm2fW5hC7Zug== 0001085146-10-000680.txt : 20100812 0001085146-10-000680.hdr.sgml : 20100812 20100811214759 ACCESSION NUMBER: 0001085146-10-000680 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100812 DATE AS OF CHANGE: 20100811 EFFECTIVENESS DATE: 20100812 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: 101009254 MAIL ADDRESS: STREET 1: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 oam2q10.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: June 30, 2010 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: 028-10748 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 August 11, 2010 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 028-10451 Alkeon Capital Management, LLC 028-06443 Eden Capital Management Partners LP 028-04503 Ridgecrest Investment Management 028-11296 PENN Capital Management Co, Inc FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 21 Form 13F Information Table Value Total: $1,257 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALCATEL-LUCENT SPONSORED ADR 013904305 0 19 SH SOLE 19 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 5 1000 SH SOLE 1000 0 0 BANK OF AMERICA CORPORATION COM 060505104 10 669 SH SOLE 669 0 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 10 1000 SH SOLE 1000 0 0 CAPITAL PRODUCT PARTNERS L P COM UNIT LP Y11082107 5 650 SH SOLE 650 0 0 FEDERAL MOGUL CORP COM 313549404 286 22000 SH SOLE 22000 0 0 HEIDRICK & STRUGGLES INTL IN COM 422819102 6 250 SH SOLE 250 0 0 ISHARES TR INDEX BARCLYS TIPS BD 464287176 67 625 SH SOLE 625 0 0 ISHARES TR INDEX NASDQ BIO INDX 464287556 8 100 SH SOLE 100 0 0 PARAGON SHIPPING INC CL A 69913R309 2 450 SH SOLE 450 0 0 PROSHARES TR PSHS SH MDCAP400 74347R800 239 5500 SH SOLE 5500 0 0 PROSHARES TR PSHS SHRT S&P500 74347R503 550 10000 SH SOLE 10000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 0 1 SH SOLE 1 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 3 300 SH SOLE 300 0 0 TUESDAY MORNING CORP COM NEW 899035505 5 1350 SH SOLE 1350 0 0 ULTRA PETROLEUM CORP COM 903914109 7 150 SH SOLE 150 0 0 UNITEDHEALTH GROUP INC COM 91324P102 6 225 SH SOLE 225 0 0 VIACOM INC NEW CL B 92553P201 4 125 SH SOLE 125 0 0 VOLCOM INC COM 92864N101 5 250 SH SOLE 250 0 0 WESTERN ASSET HIGH INCM FD I COM 95766J102 24 2625 SH SOLE 2625 0 0 WESTERN ASSETT MGD HI INCM F COM 95766L107 15 2500 SH SOLE 2500 0 0
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