0001085146-11-000590.txt : 20110513
0001085146-11-000590.hdr.sgml : 20110513
20110512205133
ACCESSION NUMBER: 0001085146-11-000590
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110513
DATE AS OF CHANGE: 20110512
EFFECTIVENESS DATE: 20110513
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: 11837521
MAIL ADDRESS:
STREET 1: 200 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10166
13F-HR
1
oam1q2011.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, 2011
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 May 12, 2011
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: 7
Form 13F Information Table Value Total: $2,327 (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
BANK OF AMERICA CORPORATION COM 060505104 9 669 SH SOLE 669 0 0
FEDERAL MOGUL CORP COM 313549404 1096 44 SH SOLE 44000 0 0
ISHARES TR BARCLYS TIPS BD 464287176 68 625 SH SOLE 625 0 0
PROSHARES TR PSHS SH MDCAP400 74347R800 331 11 SH SOLE 11000 0 0
PROSHARES TR PSHS SHRT S&P500 74347R503 823 20 SH SOLE 20000 0 0
SIMON PPTY GROUP INC NEW COM 828806109 0 1 SH SOLE 1 0 0