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| CIK | 791963 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Oppenheimer Holdings Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 4, 2025 |
opy2q2025investorpresent Oppenheimer Holdings Inc. Second Quarter 2025 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21 |
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| August 4, 2025 |
As filed with the Securities and Exchange Commission on August 4, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 1, 2025 |
Oppenheimer Holdings Inc. Reports Second Quarter 2025 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Second Quarter 2025 Earnings New York, August 1, 2025 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $21.7 million or $2.06 basic earnings per share for the second quarter of 2025, compared with net income of $10.3 million or $0.99 basic earnings per share for the second quarter of 2024. Revenue for the |
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| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| August 1, 2025 |
As filed with the Securities and Exchange Commission on August 1, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number 8-04077 A. Full title of the plan |
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| May 6, 2025 |
As filed with the Securities and Exchange Commission on May 6, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 6, 2025 |
Oppenheimer Holdings Inc. New York, NY May 5, 2025 Annual Stockholders' Meeting WELCOME to Oppenheimer's 2025 Annual Stockholders' Meeting May 5, 2025 2 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Sec |
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| April 28, 2025 |
Oppenheimer Holdings Inc. First Quarter 2025 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchan |
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| April 28, 2025 |
As filed with the Securities and Exchange Commission on April 28, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 25, 2025 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on April 25, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1 |
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| April 25, 2025 |
Oppenheimer Holdings Inc. Reports First Quarter 2025 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports First Quarter 2025 Earnings New York, April 25, 2025 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $30.7 million or $2.93 basic earnings per share for the first quarter of 2025, compared with net income of $26.1 million or $2.50 basic earnings per share for the first quarter of 2024. Revenue for the fir |
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| March 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☒ Filed by a party other than the registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of |
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| March 5, 2025 |
OPPENHEIMER HOLDINGS INC. Annual Report 2024 2024 2023 2022 2021 2020 In thousands except per share amounts and number of employees Gross revenue $1,432,496 $1,248,825 $1,110,941 $1,394,035 $1,198,667 Income before income taxes $105,757 $46,770 $45,554 $224,641 $169,000 Net income* $71,557 $30,179 $32,351 $158,964 $122,986 Basic earnings per share* $6.91 $2.81 $2.77 $12.57 $9.73 Total assets $3,38 |
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| February 27, 2025 |
Subsidiaries of the registrant (filed herewith). EXHIBIT 21 Subsidiaries of Oppenheimer Holdings Inc. As of December 31, 2024 Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Oppenheimer are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a "significant subsidiary" as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act |
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| February 27, 2025 |
For the fiscal year ended December 31, 2024 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0063 Expires: May 31, 2025 Estimated average burden hours per response . . . 2,255.26 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION |
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| February 27, 2025 |
OPPENHEIMER HOLDINGS INC. ANNOUNCES CEO SUCCESSION ALBERT G. LOWENTHAL TRANSITIONS TO EXECUTIVE CHAIRMAN ROBERT S. LOWENTHAL APPOINTED CEO & PRESIDENT NEW YORK, February 27, 2025 – Oppenheimer Holdings Inc. today announced that Albert G. Lowenthal, Chairman of the Board of Directors and Chief Executive Officer (CEO), would step down as CEO of the Company and its primary operating subsidiary, Oppen |
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| February 27, 2025 |
As filed with the Securities and Exchange Commission on February 27, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 27, 2025 |
Subsidiary Guarantors and Issuers of Registered Senior Secured Notes (filed herewith). Exhibit 22 Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Oppenheimer Holdings, Inc. |
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| February 27, 2025 |
Insider Trading Policy (filed herewith). 1 Insider Trading Policy Updated January 2025 Purpose This Insider Trading Policy (this “Policy”) provides guidelines with respect to transactions in the securities of Oppenheimer Holdings Inc. |
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| February 3, 2025 |
As filed with the Securities and Exchange Commission on February 3, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 3, 2025 |
Oppenheimer Holdings Inc. Fourth Quarter and Full Year 2024 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Se |
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| January 31, 2025 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on January 31, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 31, 2025 |
Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2024 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2024 Earnings New York, January 31, 2025 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $10.7 million or $1.04 basic earnings per share for the fourth quarter of 2024 compared with net income of $11.1 million or $1.07 basic earnings per share for the fourth quarter of 2023. F |
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| October 28, 2024 |
Oppenheimer Holdings Inc. Third Quarter 2024 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchan |
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| October 28, 2024 |
As filed with the Securities and Exchange Commission on October 28, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| October 25, 2024 |
Oppenheimer Holdings Inc. Reports Third Quarter 2024 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Third Quarter 2024 Earnings New York, October 25, 2024 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $24.5 million or $2.38 basic earnings per share for the third quarter of 2024, compared with net income of $13.9 million or $1.32 basic earnings per share for the third quarter of 2023. Revenue for the t |
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| October 25, 2024 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on October 25, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 19, 2024 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits As filed with the Securities and Exchange Commission on September 19, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2024 |
As filed with the Securities and Exchange Commission on July 29, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2024 |
Oppenheimer Holdings Inc. Second Quarter 2024 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Excha |
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| July 26, 2024 |
143400740v10 OPPENHEIMER HOLDINGS INC. 2024 INCENTIVE PLAN (Effective May 6, 2024) 143400740v10 OPPENHEIMER HOLDINGS INC. 2024 INCENTIVE PLAN (Effective May 6, 2024) ARTICLE I PURPOSE The purpose of the Oppenheimer Holdings Inc. 2024 Incentive Plan (the “Plan”), effective May 6, 2024, the date that the Plan is approved by the Company’s Class B stockholders (the “Effective Date”) is to enhance the |
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| July 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| July 26, 2024 |
Oppenheimer Holdings Inc. Reports Second Quarter 2024 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Second Quarter 2024 Earnings New York, July 26, 2024 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $10.3 million or $0.99 basic earnings per share for the second quarter of 2024, compared with a net loss of $(9.4) million or $(0.85) basic earnings per share for the second quarter of 2023. Revenue for th |
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| July 26, 2024 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on July 26, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number 8-04077 A. Full title of the plan |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OPPENHEIMER HOLDINGS INC. (Exact name of Registrant as Specified in its Charter) Delaware 98-0080034 (State or Other Jurisdiction of (I.R.S. Employer Incorporation or Organization) Identification No.) 85 Broad Street New York, NY 10004 (Address, incl |
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| May 8, 2024 |
Filing Fee Table (filed herewith). EXHIBIT 107 FILING FEE TABLE Calculation of Filing Fee Tables Form S-8 (Form Type) Oppenheimer Holdings Inc. |
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| May 7, 2024 |
Annual Stockholders’ Meeting New York, NY May 6, 2024 Oppenheimer Holdings Inc. WELCOME to Oppenheimer’s 2024 Annual Stockholders’ Meeting May 6, 2024 2 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward‐looking statements” within the meaning of Sec |
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| May 7, 2024 |
As filed with the Securities and Exchange Commission on May 7, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 7, 2024 |
Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024) 143400740v10 OPPENHEIMER HOLDINGS INC. 2024 INCENTIVE PLAN (Effective May 6, 2024) 143400740v10 OPPENHEIMER HOLDINGS INC. 2024 INCENTIVE PLAN (Effective May 6, 2024) ARTICLE I PURPOSE The purpose of the Oppenheimer Holdings Inc. 2024 Incentive Plan (the “Plan”), effective May [], 2024, the date that the Plan is approved by the Company’s Class B stockholders (the “Effective Date”) is to enhance the |
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| April 29, 2024 |
As filed with the Securities and Exchange Commission on April 29, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 29, 2024 |
Oppenheimer Holdings Inc. First Quarter 2024 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchan |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1 |
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| April 26, 2024 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on April 26, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 26, 2024 |
Oppenheimer Holdings Inc. Reports First Quarter 2024 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports First Quarter 2024 Earnings New York, April 26, 2024 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $26.1 million or $2.50 basic earnings per share for the first quarter of 2024, an increase of approximately 78.2%, compared with net income of $14.6 million or $1.32 basic earnings per share for the first |
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| March 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☒ Filed by a party other than the registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of |
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| March 4, 2024 |
Financial Statements and Exhibits, Other Events As filed with the Securities and Exchange Commission on March 4, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 1, 2024 |
Subsidiaries of the registrant (filed herewith). EXHIBIT 21 Subsidiaries of Oppenheimer Holdings Inc. As of December 31, 2023 Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Oppenheimer are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a "significant subsidiary" as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act |
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| March 1, 2024 |
OPPENHEIMER HOLDINGS INC. COMPENSATION RECOVERY (CLAWBACK) POLICY Introduction The Board of Directors (the "Board") of Oppenheimer Holdings Inc. (the “Company”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company's pay-for- performance compensation philosophy. The |
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| March 1, 2024 |
For the fiscal year ended December 31, 2023 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0063 Expires: May 31, 2025 Estimated average burden hours per response . . . 2,255.26 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION |
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| March 1, 2024 |
OPPENHEIMER HOLDINGS INC. Annual Report 2023 $4.10 $9.73 $12.57 $2.77 $2.81 19 20 21 22 23 2023 2022 2021 2020 2019 In thousands except per share amounts and number of employees Gross revenue $1,248,825 $1,110,941 $1,394,035 $1,198,667 $1,033,379 Income before income taxes $46,770 $45,554 $224,641 $169,000 $74,912 Net income $30,179 $32,351 $158,964 $122,986 $52,953 Basic earnings per share $2.81 |
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| March 1, 2024 |
As filed with the Securities and Exchange Commission on March 1, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 1, 2024 |
Description of the Registrant's Common Stock (filed herewith). Exhibit 4.3 153872149.1 DESCRIPTION OF THE REGISTRANT’S COMMON STOCK Oppenheimer Holdings Inc. is incorporated in the State of Delaware. The rights of our stockholders and the terms of our common stock are generally covered by Delaware law, including the Delaware General Corporation Law, and our certificate of incorporation and amended and restated by-laws which are filed as exhibits to our Annual |
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| March 1, 2024 |
Subsidiary Guarantors and Issuers of Registered Senior Secured Notes (filed herewith). Exhibit 22 Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Oppenheimer Holdings, Inc. |
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| January 29, 2024 |
Oppenheimer Holdings Inc. Fourth Quarter and Full Year 2023 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Se |
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| January 29, 2024 |
As filed with the Securities and Exchange Commission on January 29, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 26, 2024 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on January 26, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 26, 2024 |
Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2023 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2023 Earnings New York, January 26, 2024 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $11.1 million or $1.07 basic earnings per share for the fourth quarter of 2023 compared with net income of $22.4 million or $2.04 basic earnings per share for the fourth quarter of 2022. A |
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| January 24, 2024 |
Filing Fee Table (filed herewith). EXHIBIT 107 FILING FEE TABLE Calculation of Filing Fee Tables Form S-8 (Form Type) Oppenheimer Holdings Inc. |
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| January 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OPPENHEIMER HOLDINGS INC. (Exact name of Registrant as Specified in its Charter) Delaware 98-0080034 (State or Other Jurisdiction of (I.R.S. Employer Incorporation or Organization) Identification No.) 85 Broad Street New York, NY 10004 (Address, incl |
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| January 24, 2024 |
Power of Attorney (included on the signature pages of this registration statement). EXHIBIT 24.1 POWER OF ATTORNEY Each person whose signature appears below hereby constitutes and appoints Brad M. Watkins, his or her true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any or all amendments or supplements (including post-effective amendments) to th |
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| October 30, 2023 |
As filed with the Securities and Exchange Commission on October 30, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 30, 2023 |
Oppenheimer Holdings Inc. Third Quarter 2023 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchan |
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| October 27, 2023 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on October 27, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| October 27, 2023 |
Oppenheimer Holdings Inc. Reports Third Quarter 2023 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Third Quarter 2023 Earnings New York, October 27, 2023 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $13.9 million or $1.32 basic earnings per share for the third quarter of 2023, an increase of approximately 206.7%, compared with net income of $4.5 million or $0.40 basic earnings per share for the thir |
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| October 25, 2023 |
As filed with the Securities and Exchange Commission on October 25, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 31, 2023 |
As filed with the Securities and Exchange Commission on July 31, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 31, 2023 |
opyq2-2023investorpresen Oppenheimer Holdings Inc. Second Quarter 2023 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21 |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| July 28, 2023 |
As filed with the Securities and Exchange Commission on July 28, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 28, 2023 |
Oppenheimer Holdings Inc. Reports Second Quarter 2023 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Second Quarter 2023 Earnings New York, July 28, 2023 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported a net loss of $9.4 million or $(0.85) per share for the second quarter of 2023, compared with a net loss of $3.9 million or $(0.32) per share for the second quarter of 2022. Revenue for the second quarter of 2023 was $3 |
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| July 28, 2023 |
THIRD AMENDMENT TO LEASE This THIRD AMENDMENT TO LEASE (this “Amendment”) made as of thisday of June, 2023, by and between 666 THIRD AVENUE, L. |
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| July 6, 2023 |
Press release announcing final results of the Tender Offer, dated July 6, 2023. Exhibit (a)(5)(C) Oppenheimer Holdings Inc. Announces Final Results of Modified Dutch Auction Tender Offer New York — July 6, 2023 – Oppenheimer Holdings Inc. (the “Company”) (NYSE: OPY) today announced final results of its modified “Dutch auction” tender offer which expired 11:59 p.m., New York City time, on Wednesday, June 28, 2023. Based on the final count by Computershare Trust Company, N.A., |
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| July 6, 2023 |
United states SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 2) TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) or 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 OPPENHEIMER HOLDINGS INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A non-voting common stock, par value $0.001 per share (Title of Class of Securities) 671005106 (CUSIP Numb |
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| June 29, 2023 |
United states SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 1) TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) or 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 OPPENHEIMER HOLDINGS INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A non-voting common stock, par value $0.001 per share (Title of Class of Securities) 671005106 (CUSIP Numb |
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| June 29, 2023 |
Press release announcing preliminary results of the Tender Offer, dated June 29, 2023. Exhibit (a)(5)(B) Oppenheimer Holdings Inc. Announces Preliminary Results of Modified Dutch Auction Tender Offer New York — June 29, 2023 — Oppenheimer Holdings Inc. (the “Company”) (NYSE: OPY) today announced preliminary results of its modified “Dutch auction” tender offer which expired at 11:59 p.m., New York City time, on Wednesday, June 28, 2023. Based on the preliminary count by Computershare |
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| June 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number 8-04077 A. Full title of the plan |
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| May 31, 2023 |
Notice of Guaranteed Delivery. Exhibit (a)(1)(C) NOTICE OF GUARANTEED DELIVERY (Not to be used for Signature Guarantee) for Tender of Shares of Class A non-voting common stock of Oppenheimer Holdings Inc. |
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| May 31, 2023 |
Exhibit (a)(1)(E) Offer to Purchase by Oppenheimer Holdings Inc. for an Aggregate Purchase Price of Up to $30,000,000 in Cash of Shares of its Class A non-voting common stock at a Purchase Price Not Greater than $40.00 Per Share Nor Less than $34.00 Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 11:59 P.M., NEW YORK CITY TIME, ON JUNE 28, 2023, UNLESS THE OFFER IS EXTE |
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| May 31, 2023 |
Summary Advertisement, dated May 31, 2023. Exhibit (a)(1)(F) This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below). |
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| May 31, 2023 |
EX-FILING FEES 9 tm2316928d1ex-filingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Schedule TO (Form Type) Oppenheimer Holdings Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Transaction Valuation Transaction Valuation Fee Rate Amount of Filing Fee Fees to Be Paid $ 30,000,000(1) 0.0001102 $ 3,306(2) Fees Previously Paid — Total Transaction Valuation $ |
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| May 31, 2023 |
Exhibit (a)(1)(D) Offer to Purchase by Oppenheimer Holdings Inc. for an Aggregate Purchase Price of Up to $30,000,000 in Cash of Shares of its Class A non-voting common stock at a Purchase Price Not Greater than $40.00 Per Share Nor Less than $34.00 Per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 11:59 P.M., NEW YORK CITY TIME, ON JUNE 28, 2023, UNLESS THE OFFER IS EXTE |
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| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) or 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 OPPENHEIMER HOLDINGS INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A non-voting common stock, par value $0.001 per share (Title of Class of Securities) 671005106 (CUSIP Number of Class of Sec |
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| May 31, 2023 |
Offer to Purchase, dated May 31, 2023. TABLE OF CONTENTS Exhibit (a)(1)(A) Oppenheimer Holdings Inc. Offer to Purchase for an Aggregate Purchase Price of up to $30,000,000 in Cash of Shares of its Class A non-voting common stock at a Purchase Price Not Greater Than $40.00 per Share Nor Less Than $34.00 per Share THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 11:59 P.M., NEW YORK CITY TIME, ON JUNE 28, 2023, UNLESS TH |
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| May 31, 2023 |
Exhibit (a)(1)(B) Letter of Transmittal To Tender Shares of Class A non-voting common stock of OPPENHEIMER HOLDINGS INC. |
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| May 31, 2023 |
Press release announcing commencement of the Tender Offer, dated May 31, 2023. Exhibit (a)(5) OPPENHEIMER HOLDINGS INC. ANNOUNCES CASH TENDER OFFER TO PURCHASE UP TO $30,000,000 MILLION OF ITS CLASS A NON-VOTING COMMON STOCK New York — May 31, 2023 — Oppenheimer Holdings Inc. (the “Company” or “Oppenheimer”) (NYSE: OPY) announced today the commencement of a modified “Dutch Auction” tender offer (the “Offer”) to purchase up to $30,000,000 million of its Class A non-voting com |
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| May 9, 2023 |
As filed with the Securities and Exchange Commission on May 9, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 9, 2023 |
Annual Stockholders’ Meeting New York, NY May 8, 2023 Oppenheimer Holdings Inc. WELCOME to Oppenheimer’s 2023 Annual Stockholders’ Meeting May 8, 2023 2 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Sec |
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| May 1, 2023 |
opyq1-2023investorpresen Oppenheimer Holdings Inc. First Quarter 2023 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E |
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| May 1, 2023 |
As filed with the Securities and Exchange Commission on May 1, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 28, 2023 |
Oppenheimer Holdings Inc. Reports First Quarter 2023 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports First Quarter 2023 Earnings New York, April 28, 2023 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $14.6 million or $1.32 basic earnings per share for the first quarter of 2023, an increase of approximately 57.3%, compared with net income of $9.3 million or $0.75 basic earnings per share for the first q |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1 |
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| April 28, 2023 |
As filed with the Securities and Exchange Commission on April 28, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☒ Filed by a party other than the registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of |
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| March 14, 2023 |
a23-arx01annualreportbro OPPENHEIMER HOLDINGS INC. Annual Report 2022 2022 2021 2020 2019 2018 In thousands except per share amounts and number of employees Gross revenue $1,110,941 $1,394,035 $1,198,667 $1,033,379 $958,154 Income before income taxes $45,554 $224,641 $169,000 $74,912 $44,853 Net income $32,351 $158,964 $122,986 $52,953 $28,892 Basic earnings per share $2.77 $12.57 $9.73 $4.10 $2.1 |
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| March 3, 2023 |
EX-10.12 4 a1012oppenheimercoincsto.htm EX-10.12 OPPENHEIMER HOLDINGS INC. STOCK APPRECIATION RIGHT PLAN 2 OPPENHEIMER HOLDINGS INC. STOCK APPRECIATION RIGHT PLAN 1. Plan Established Oppenheimer Holdings Inc. (“OPY”), hereby adopts this Stock Appreciation Right Plan (the ‘Plan”) on behalf of certain key employees of OPY and its subsidiary, Fahnestock & Co. Inc. (together, the “Company”) to be sele |
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| March 3, 2023 |
a1010offerletterdatedmay |
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| March 3, 2023 |
a1011leasedatedoctober15 INGRAM YUZEK - GAINEN * CARROLL - BERTOLOTTI ¦ LLP October 16, 2018 Amol K. |
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| March 3, 2023 |
For the fiscal year ended December 31, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0063 Expires: May 31, 2025 Estimated average burden hours per response . . . 2,255.26 FORM 10-K/A AMENDMENT NO. 1 (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION |
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| February 28, 2023 |
Subsidiaries of the registrant EXHIBIT 21 Subsidiaries of Oppenheimer Holdings Inc. As of December 31, 2022 Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Oppenheimer are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a "significant subsidiary" as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act |
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| February 28, 2023 |
For the fiscal year ended December 31, 2022 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0063 Expires: May 31, 2025 Estimated average burden hours per response . . . 2,255.26 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION |
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| February 28, 2023 |
Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Exhibit 22 Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Oppenheimer Holdings, Inc. |
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| January 30, 2023 |
Oppenheimer Holdings Inc. Fourth Quarter and Full Year 2022 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer” or the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Se |
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| January 30, 2023 |
As filed with the Securities and Exchange Commission on January 30, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 30, 2023 |
As filed with the Securities and Exchange Commission on January 30, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 27, 2023 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on January 27, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 27, 2023 |
Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2022 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2022 Earnings New York, January 27, 2023 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $22.4 million or $2.04 basic earnings per share for the fourth quarter of 2022 compared with net income of $62.9 million or $4.99 basic earnings per share for the fourth quarter of 2021. R |
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| December 14, 2022 |
Financial Statements and Exhibits, Other Events As filed with the Securities and Exchange Commission on December 14, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 31, 2022 |
Oppenheimer Holdings Inc. Third Quarter 2022 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. ("Oppenheimer? or the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchan |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 28, 2022 |
Oppenheimer Holdings Inc. Reports Third Quarter 2022 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Third Quarter 2022 Earnings New York, October 28, 2022 ? Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $4.5 million or $0.40 basic earnings per share for the third quarter of 2022, compared with net income of $26.3 million or $2.07 basic earnings per share for the third quarter of 2021. Revenue for the th |
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| October 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| October 28, 2022 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on October 28, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 7, 2022 |
As filed with the Securities and Exchange Commission on September 7, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 2, 2022 |
As filed with the Securities and Exchange Commission on August 2, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 1, 2022 |
Oppenheimer Holdings Inc. Second Quarter 2022 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, |
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| August 1, 2022 |
As filed with the Securities and Exchange Commission on August 1, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2022 |
Financial Statements and Exhibits, Other Events As filed with the Securities and Exchange Commission on July 29, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2022 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on July 29, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2022 |
Oppenheimer Holdings Inc. Reports Second Quarter 2022 Earnings EX-99.1 2 ex991-20228xkq2pressrelease.htm EX-99.1 Exhibit 99.1 Oppenheimer Holdings Inc. Reports Second Quarter 2022 Earnings New York, July 29, 2022 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported a net loss of $3.9 million or $(0.32) basic earnings per share for the second quarter of 2022, compared with net income of $31.2 million or $2.46 basic earnings per shar |
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| July 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| June 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K 11-K 1 oppenheimer401k-2021fs.htm 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Nu |
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| May 24, 2022 |
Financial Statements and Exhibits, Other Events As filed with the Securities and Exchange Commission on May 24, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 10, 2022 |
Annual Stockholders? Meeting New York, NY May 9, 2022 Oppenheimer Holdings Inc. WELCOME to Oppenheimer?s 2022 Annual Stockholders? Meeting May 9, 2022 Safe Harbor Statement 3 This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the S |
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| May 10, 2022 |
As filed with the Securities and Exchange Commission on May 10, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 2, 2022 |
As filed with the Securities and Exchange Commission on May 2, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 2, 2022 |
Oppenheimer Holdings Inc. First Quarter 2022 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, a |
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| April 29, 2022 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on April 29, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1 |
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| April 29, 2022 |
Oppenheimer Holdings Inc. Reports First Quarter 2022 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports First Quarter 2022 Earnings New York, April 29, 2022 ? Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $9.3 million or $0.75 basic earnings per share for the first quarter of 2022, a decrease of approximately 76.0%, compared with net income of $38.7 million or $3.07 basic earnings per share for the first qu |
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| March 18, 2022 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant?? Filed by a party other than the registrant ? Check the appropriate box: ? Preliminary proxy statement ? ? Confidential, for us |
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| February 28, 2022 |
Table of Contents As filed with the U.S. Securities and Exchange Commission on February 28, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHA |
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| February 28, 2022 |
Subsidiaries of the registrant (filed herewith). EXHIBIT 21 Subsidiaries of Oppenheimer Holdings Inc. As of December 31, 2021 Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Oppenheimer are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a "significant subsidiary" as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act |
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| February 28, 2022 |
Subsidiary Guarantors and Issuers of Registered Senior Secured Notes (filed herewith). Exhibit 22 Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Oppenheimer Holdings, Inc. |
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| February 25, 2022 |
As filed with the Securities and Exchange Commission on February 25, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 10, 2022 |
As filed with the Securities and Exchange Commission on February 7, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 31, 2022 |
Oppenheimer Holdings Inc. Fourth Quarter and Full Year 2021 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange |
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| January 31, 2022 |
As filed with the Securities and Exchange Commission on January 31, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 28, 2022 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on January 28, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 28, 2022 |
Oppenheimer Holdings Inc. Reports Fourth Quarter and Record Full Year 2021 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Fourth Quarter and Record Full Year 2021 Earnings New York, January 28, 2022 ? Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $62.9 million or $4.99 basic earnings per share for the fourth quarter of 2021 compared with net income of $81.9 million or $6.56 basic earnings per share for the fourth quarter of |
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| December 20, 2021 |
As filed with the Securities and Exchange Commission on December 20, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 20, 2021 |
Exhibit 99.1 OPPENHEIMER & CO. INC. INVESTMENT BANKING AND CAPITAL MARKETS DEFERRED COMPENSATION PLAN (Effective December 15, 2021) 1. Purpose of the Plan. The purpose of this Oppenheimer & Co. Inc. Investment Banking and Capital Markets Deferred Compensation Plan (effective December 15, 2021) (the ?Plan?) is to enhance the overall effectiveness of the Company?s compensation program by providing a |
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| December 14, 2021 |
As filed with the Securities and Exchange Commission on December 14, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 14, 2021 |
OPPENHEIMER HOLDINGS INC. DECLARES SPECIAL DIVIDEND Exhibit 99.1 OPPENHEIMER HOLDINGS INC. DECLARES SPECIAL DIVIDEND New York, December 14, 2021 - Oppenheimer Holdings Inc. (?NYSE: OPY?) (the ?Company? or ?Firm) today announced that its Board of Directors has declared a special cash dividend on the Company?s Class A non-voting and Class B voting common stock of $1.00 per share, payable December 31, 2021, to shareholders of record at the close of bu |
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| November 1, 2021 |
As filed with the Securities and Exchange Commission on November 1, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 1, 2021 |
Oppenheimer Holdings Inc. Third Quarter 2021 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, a |
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| October 29, 2021 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on October 29, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| October 29, 2021 |
Oppenheimer Holdings Inc. Reports Third Quarter 2021 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Third Quarter 2021 Earnings New York, October 29, 2021 ? Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $26.3 million or $2.07 basic earnings per share for the third quarter of 2021, an increase of 67.8%, compared with net income of $15.6 million or $1.25 basic earnings per share for the third quarter of 2 |
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| September 23, 2021 |
OPY / Oppenheimer Holdings Inc. / PROPP MORRIS - SCHEDULE 13G AMENDMENT Passive Investment OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number:3235-0145 Expires:Febuary 28, 2009 Estimated average burden hours per response ....10.4 SCHEDULE 13G/A Under the Securities and Exchange Act of 1934 (Amendment No. 1 )* Oppenheimer Holdings Inc. (Name of Issuer) Class A Common Shares (Title of Class of Securities) 683797104 (CUSIP Number) June 21, 2021 |
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| August 2, 2021 |
As filed with the Securities and Exchange Commission on August 2, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 2, 2021 |
Oppenheimer Holdings Inc. Second Quarter 2021 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, |
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| July 30, 2021 |
Oppenheimer Holdings Inc. Second Quarter 2021 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, |
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| July 30, 2021 |
As filed with the Securities and Exchange Commission on July 30, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| July 29, 2021 |
Exhibit 99.1 Oppenheimer Holdings Inc. Reports Second Quarter 2021 Earnings and Announces Increase in the Quarterly Dividend New York, July 29, 2021 ? Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $31.2 million or $2.46 basic earnings per share for the second quarter of 2021, an increase of 76.5%, compared with net income of $17.6 million or $1.40 bas |
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| July 29, 2021 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on July 29, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 25, 2021 |
OPY / Oppenheimer Holdings Inc. / PROPP MORRIS - SCHEDULE 13G Passive Investment OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number:3235-0145 Expires:Febuary 28, 2009 Estimated average burden hours per response ....10.4 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. )* Oppenheimer Holdings Inc. (Name of Issuer) Class A Common Shares (Title of Class of Securities) 683797104 (CUSIP Number) June 21, 2021 (Dat |
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| June 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One): ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number 8-04077 A. Full title of the plan |
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| May 11, 2021 |
Annual Stockholders? Meeting: Virtual New York, NY May 10, 2021 Oppenheimer Holdings Inc. |
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| May 11, 2021 |
As filed with the Securities and Exchange Commission on May 11, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 3, 2021 |
As filed with the Securities and Exchange Commission on May 3, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 3, 2021 |
First Quarter 2021 Investor Update Oppenheimer Holdings Inc. Safe Harbor Statement 2 This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the ?company?) may contain ?forward-looking statements? within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, |
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| April 30, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1 |
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| April 30, 2021 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on April 30, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 30, 2021 |
Oppenheimer Holdings Inc. Reports First Quarter 2021 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports First Quarter 2021 Earnings New York, April 30, 2021 ? Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $38.7 million or $3.07 basic earnings per share for the first quarter of 2021, an increase of approximately 400%, compared with net income of $7.8 million or $0.61 basic earnings per share for the first qu |
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| March 19, 2021 |
QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 1, 2021 |
Table of Contents As filed with the U.S. Securities and Exchange Commission on March 1, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE |
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| March 1, 2021 |
aws of Oppenheimer Holdings Inc. (filed herewith) A/72840460.7 Exhibit 3.2 OPPENHEIMER HOLDINGS INC. BY-LAWS, as amended through February 25, 2021 ARTICLE I General 1.1Offices. The registered office of Oppenheimer Holdings Inc. (the ?Company?) shall be in the City of Wilmington, County of New Castle, State of Delaware. The Company may also have offices at such other places both within and without the State of Delaware as the Board of Directors ma |
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| March 1, 2021 |
Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Exhibit 22 Subsidiary Guarantors and Issuers of Registered Senior Secured Notes Oppenheimer Holdings, Inc. |
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| March 1, 2021 |
Subsidiaries of the registrant (filed herewith). EXHIBIT 21 Subsidiaries of Oppenheimer Holdings Inc. As of December 31, 2020 Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Oppenheimer are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a "significant subsidiary" as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act |
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| February 2, 2021 |
a4q-20investorxpresenta Fourth Quarter and Full Year 2020 Investor Update Oppenheimer Holdings Inc. |
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| February 2, 2021 |
As filed with the Securities and Exchange Commission on February 2, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 29, 2021 |
Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2020 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Fourth Quarter and Full Year 2020 Earnings New York, January 29, 2021 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $81.9 million or $6.56 basic earnings per share for the fourth quarter of 2020 compared with net income of $25.4 million or $1.99 basic earnings per share for the fourth quarter of 2019. R |
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| January 29, 2021 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on January 29, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 10, 2020 |
As filed with the Securities and Exchange Commission on December 09, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| December 10, 2020 |
OPPENHEIMER HOLDINGS INC. Declares Special Dividend Exhibit 99.1 OPPENHEIMER HOLDINGS INC. Declares Special Dividend December 9, 2020. New York, NY. Oppenheimer Holdings Inc. (?OPY?) today announced that its Board of Directors has declared a special cash dividend on OPY Class A non-voting and Class B voting common stock of $1.00 per share, payable December 30, 2020, to shareholders of record as of the close of business on December 23, 2020. The agg |
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| November 25, 2020 |
OPPENHEIMER HOLDINGS INC. $125,000,000 5.50% Senior Secured Notes due 2025 Filed Pursuant to Rule 424(b)(3) Registration No. 333-249433 PROSPECTUS OPPENHEIMER HOLDINGS INC. $125,000,000 5.50% Senior Secured Notes due 2025 The notes bear interest at the rate of 5.50% per year. Interest on the notes is payable on October 1 and April 1 of each year, beginning on April 1, 2021. The notes mature on October 1, 2025. We may redeem any of the notes beginning on October 1, 2022. |
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| November 24, 2020 |
Oppenheimer Holdings Inc. 85 Broad Street New York, New York 10004 November 24, 2020 VIA EDGAR AND FACSIMILE Securities and Exchange Commission Division of Corporation Finance 100 F St., N.E. Washington, D.C. 20549 Attn: Sonia Bednarowski Re: Oppenheimer Holdings Inc. Registration Statement on Form S-3 File No. 333-249433 Ladies and Gentlemen: Pursuant to Rule 461(a) under the Securities Act of 19 |
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| November 24, 2020 |
Oppenheimer Holdings Inc. 85 Broad Street New York, New York 10004 November 24, 2020 VIA EDGAR AND FACSIMILE Securities and Exchange Commission Division of Corporation Finance 100 F St., N.E. Washington, D.C. 20549 Attn: Sonia Bednarowski Re: Oppenheimer Holdings Inc. Registration Statement on Form S-3 File No. 333-249433 Ladies and Gentlemen: Reference is made to the Registration Statement on For |
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| November 24, 2020 |
As filed with the Securities and Exchange Commission on November 24, 2020. Registration No. 333-249433 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OPPENHEIMER HOLDINGS INC. and the Subsidiary Guarantors listed below (Exact name of registrant as specified in its charter) Delaware (State o |
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| November 24, 2020 |
As filed with the Securities and Exchange Commission on November 24, 2020. Registration No. 333-249433 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OPPENHEIMER HOLDINGS INC. and the Subsidiary Guarantors listed below (Exact name of registrant as specified in its charter) Delaware (State o |
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| November 19, 2020 |
OPPENHEIMER HOLDINGS INC. EXTENDS EXCHANGE OFFER Exhibit 99.1 OPPENHEIMER HOLDINGS INC. EXTENDS EXCHANGE OFFER November 19, 2020. New York, NY. Oppenheimer Holdings Inc. (“OPY”) today announced that it has extended its offer to the holders of the $125.0 million aggregate principal amount of its 5.50% Senior Secured Notes due 2025, issued September 22, 2020, to exchange such notes for a like principal amount of notes with identical terms other th |
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| November 19, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 19, 2020 OPPENHEIMER HOLDINGS INC. (Exact Name of Registrant as Specified in Charter) Commission File Number 1-12043 Delaware 98-0080034 (State or other jurisdiction of (I.R. |
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| October 30, 2020 |
Regulation FD Disclosure - 8-K As filed with the Securities and Exchange Commission on October 30, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 30, 2020 |
a3q-20investorxpresenta Oppenheimer Holdings Inc. Third Quarter 2020 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities |
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| October 29, 2020 |
Oppenheimer Holdings Inc. Reports Third Quarter 2020 Earnings Exhibit 99.1 Oppenheimer Holdings Inc. Reports Third Quarter 2020 Earnings New York, October 29, 2020 – Oppenheimer Holdings Inc. (NYSE: OPY) (the "Company" or "Firm") today reported net income of $15.6 million or $1.25 basic earnings per share for the third quarter of 2020 compared with net income of $3.9 million or $0.31 basic earnings per share for the third quarter of 2019. Revenue for the thi |
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| October 29, 2020 |
Results of Operations and Financial Condition - 8-K As filed with the Securities and Exchange Commission on October 29, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 29, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| October 20, 2020 |
$125,000,000 OPPENHEIMER HOLDINGS INC. EXCHANGE OFFER FOR 5.50% SENIOR SECURED NOTES DUE 2025 Filed pursuant to Rule 424(b)(3) Registration Nos. 333-249423 and 333-249423-01 and 333-249423-02 PROSPECTUS $125,000,000 OPPENHEIMER HOLDINGS INC. EXCHANGE OFFER FOR 5.50% SENIOR SECURED NOTES DUE 2025 Offer to exchange $125.0 million aggregate principal amount of 5.50% Senior Secured Notes due 2025 (which we refer to as the old notes) for $125.0 million aggregate principal amount of 5.50% Senior |
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| October 16, 2020 |
Oppenheimer Holdings Inc. 85 Broad Street New York, New York 10004 Oppenheimer Holdings Inc. 85 Broad Street New York, New York 10004 October 16, 2020 VIA EDGAR AND FACSIMILE Securities and Exchange Commission Division of Corporation Finance 100 F St., N.E. Washington, D.C. 20549 Attn: Sonia Bednarowski Re: Oppenheimer Holdings Inc. Registration Statement on Form S-4 File No. 333-249423 Ladies and Gentlemen: Pursuant to Rule 461(a) under the Securities Act of 193 |
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| October 9, 2020 |
As filed with the Securities and Exchange Commission on October 9, 2020. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OPPENHEIMER HOLDINGS INC. and the Subsidiary Guarantors listed below (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of inc |
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| October 9, 2020 |
[Signature Page to Exxon Capital Letter] October 9, 2020 VIA EDGAR Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Oppenheimer Holdings Inc. Registration Statement on Form S-4 (File No. 333-249423) Ladies and Gentlemen: Oppenheimer Holdings Inc. (the ?Company?), the primary obligor under its 5.50% Senior Secured Notes due 2025 (the ?Old Notes?) and each of the guaranto |
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| October 9, 2020 |
As filed with the Securities and Exchange Commission on October 9, 2020. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OPPENHEIMER HOLDINGS INC. (Exact name of registrant as specified in its charter) Delaware 6211 98-0080034 (State or other jurisdiction of incorporation or organization) |
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| October 9, 2020 |
Exhibit 25.1 = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIG |
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| October 9, 2020 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) ¨ THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) (Ju |
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| October 9, 2020 |
Form of Letter of Transmittal. Exhibit 99.1 letter of transmittal OPPENHEIMER HOLDINGS INC. Offer for All Outstanding 5.50% Senior SECURED Notes Due 2025 in Exchange for 5.50% Senior Secured Notes Due 2025 Which Have Been Registered Under the Securities Act of 1933, as Amended, Pursuant to the Prospectus Dated , 2020 The Exchange Offer will expire at 5:00 p.m. New York City time, on , 2020 (the “EXPIRATION DATE”), unless extend |
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| October 9, 2020 |
Form of Letter to Brokers, Dealers. Exhibit 99.3 OPPENHEIMER HOLDINGS INC. OFFER FOR ALL OUTSTANDING 5.50% SENIOR secured NOTES DUE 2025 IN EXCHANGE FOR 5.50% SENIOR secured NOTES DUE 2025 WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED , 2020 To Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees: Oppenheimer Holdings Inc. (“Oppenheimer”) is offering, upon and subject to the terms and cond |
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| October 9, 2020 |
Exhibit 99.2 OPPENHEIMER HOLDINGS InC. OFFER FOR ALL OUTSTANDING 5.50% SENIOR SECURED NOTES DUE 2025 IN EXCHANGE FOR 5.50% SENIOR SECURED NOTES DUE 2025 WHICH HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED , 2020 To our Clients: Enclosed for your consideration is a prospectus, dated , 2020 (the “Prospectus”), relating to the offer (the “Exchange Offer”) of Oppenheimer Holdings I |
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| September 22, 2020 |
Exhibit 10.2 Execution Version REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT dated September 22, 2020 (the “Agreement”) is entered into by and among Oppenheimer Holdings Inc, a Delaware corporation (the “Company”), E.A. Viner International Co., a Delaware corporation (“Viner”), Viner Finance Inc., a Delaware Corporation (“Viner Finance” and together with Viner, the “Guarantors”) |
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| September 22, 2020 |
As filed with the Securities and Exchange Commission on September 22, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 22, 2020 |
Exhibit 4.1 EXECUTION VERSION INDENTURE Dated as of September 22, 2020 Among OPPENHEIMER HOLDINGS INC., THE SUBSIDIARY GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO, THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Collateral Agent 5.50% SENIOR SECURED NOTES DUE 2025 CROSS-REFERENCE TABLE* Trust Indenture Act Section Indenture Sec |
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| September 22, 2020 |
Exhibit 10.1 EXECUTION VERSION SECURITY AGREEMENT by and among OPPENHEIMER HOLDINGS INC. as Grantor, and EACH OTHER GRANTOR FROM TIME TO TIME PARTY HERETO and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. as Collateral Agent. Dated as of September 22, 2020 TABLE OF AUTHORITIES PAGE ARTICLE 1 DEFINITIONS; GRANT OF SECURITY Section 1.01. General Definitions 1 Section 1.02. Definitions; Interpretat |
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| September 17, 2020 |
Financial Statements and Exhibits, Other Events - 8-K As filed with the Securities and Exchange Commission on September 17, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 17, 2020 |
OPPENHEIMER ANNOUNCES PRICING OF SENIOR SECURED NOTES OFFERING Exhibit 99.1 OPPENHEIMER ANNOUNCES PRICING OF SENIOR SECURED NOTES OFFERING September 17, 2020, New York, NY. Oppenheimer Holdings Inc. (“OPY” or the “Company”) announced today that it priced $125 million aggregate principal amount of 5.50% senior secured notes due 2025 (the “Notes”) at an initial offering price of 100% of the principal amount in connection with its previously announced private of |
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| September 10, 2020 |
Financial Statements and Exhibits, Other Events - 8-K As filed with the Securities and Exchange Commission on September 10, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 10, 2020 |
OPPENHEIMER ANNOUNCES PROPOSED SENIOR SECURED NOTES OFFERING Exhibit 99.1 OPPENHEIMER ANNOUNCES PROPOSED SENIOR SECURED NOTES OFFERING September 10, 2020. New York, NY. Oppenheimer Holdings Inc. (“OPY” or “the Company”) announced today that it is proposing to issue $125 million aggregate principal amount of senior secured notes due 2025 (the “Notes”) in a private offering that is exempt from the registration requirements of the Securities Act of 1933, as am |
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| August 28, 2020 |
As filed with the Securities and Exchange Commission on August 28, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 31, 2020 |
a2q20investorpresentatio OPPENHEIMER HOLDINGS INC. Second Quarter 2020 Investor Update SAFE HARBOR STATEMENT This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward‐looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securiti |
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| July 31, 2020 |
As filed with the Securities and Exchange Commission on July 31, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 30, 2020 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on July 30, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 30, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| June 16, 2020 |
Oppenheimer & Co. Inc. 401(k) Plan Financial Report December 31, 2019 Oppenheimer & Co. Inc. 401(k) Plan Contents Report Letter 1 Statement of Net Assets Available for Plan Benefits 3 Statement of Changes in Net Assets Available for Plan Benefits 4 Notes to Financial Statements 5-10 Schedule of Assets Held at End of Year Schedule 1 Report of Independent Registered Public Accounting Firm To the Pla |
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| May 15, 2020 |
8-K 1 opy8-ksharerepurcprogr51520.htm 8-K As filed with the Securities and Exchange Commission on May 15, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 15, 2020 OPPENHEIMER HOLDINGS INC. (Exact Name of Registrant as Spec |
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| May 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED OPPENHEIMER HOLDINGS INC. (Exact name of Registrant as Specified in its Charter) Delaware 98-0080034 (State or Other Jurisdiction of (I.R.S. Employer Incorporation or Organization) Identification No.) 85 Broad Street New York, New York 10004 (Address, |
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| May 12, 2020 |
Consent of Deloitte & Touche LLP EXHIBIT 23(a)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form S-8 of our reports relating to the consolidated financial statements of Oppenheimer Holdings Inc. |
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| May 12, 2020 |
opyshareholdermeeting511 OPPENHEIMER HOLDINGS INC. Annual Stockholders’ Meeting: Virtual New York, NY May 11, 2020 WELCOME to Oppenheimer’s 2020 Annual Stockholders’ Meeting May 11, 2020 SAFE HARBOR STATEMENT This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward‐looking statements” within t |
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| May 12, 2020 |
As filed with the Securities and Exchange Commission on May 12, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 12, 2020 |
Consent of Schnader Harrison Segal & Lewis LLP (included in Exhibit 5). EXHIBIT 23(b) THE CONSENT OF SCHNADER HARRISON SEGAL & LEWIS LLP IS INCLUDED IN EXHIBIT 5 CONTAINED HEREIN. 1 |
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| May 12, 2020 |
Power of Attorney (included on the signature pages of this registration statement). EXHIBIT 24 POWER OF ATTORNEY Each person whose signature appears below hereby constitutes and appoints Jeffrey J. |
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| May 4, 2020 |
As filed with the Securities and Exchange Commission on May 4, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 4, 2020 |
a1q20investorpresentatio OPPENHEIMER HOLDINGS INC. First Quarter 2020 Investor Update SAFE HARBOR STATEMENT This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward‐looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securitie |
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| May 1, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1 |
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| May 1, 2020 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on May 1, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant x Filed by a party other than the registrant ¨ Check the appropriate box: ¨ Preliminary proxy statement ¨ Confidential, for use of |
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| March 20, 2020 |
definitive proxy statement filed with the SEC on March 20, 2020 QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 2, 2020 |
OPY / Oppenheimer Holdings Inc. 10-K - Annual Report - 10-K Table of Contents As filed with the U.S. Securities and Exchange Commission on March 2, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE |
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| March 2, 2020 |
EXHIBIT 21 Subsidiaries of Oppenheimer Holdings Inc. As of December 31, 2019 Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Oppenheimer are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a "significant subsidiary" as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act |
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| February 3, 2020 |
a4q19investorpresentatio OPPENHEIMER HOLDINGS INC. Fourth Quarter and Full Year 2019 Investor Update SAFE HARBOR STATEMENT This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E o |
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| February 3, 2020 |
As filed with the Securities and Exchange Commission on February 3, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| January 31, 2020 |
Results of Operations and Financial Condition 8-K 1 a20198-kq4pressrelease.htm 8-K As filed with the Securities and Exchange Commission on January 31, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 31, 2020 OPPENHEIMER HOLDINGS INC. (Exact name of registrant as s |
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| October 28, 2019 |
As filed with the Securities and Exchange Commission on October 28, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 28, 2019 |
a3q19investorpresentatio Oppenheimer Holdings Inc. Third Quarter 2019 Investor Update Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securitie |
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| October 25, 2019 |
OPY / Oppenheimer Holdings Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numb |
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| October 25, 2019 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on October 25, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 4, 2019 |
a2q19investorpresentatio Oppenheimer Holdings Inc. Investor Presentation – September 2019 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward‐looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Secur |
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| September 4, 2019 |
As filed with the Securities and Exchange Commission on September 4, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 29, 2019 |
a2q19investorpresentatio Oppenheimer Holdings Inc. Second Quarter Update – 2019 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exch |
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| July 29, 2019 |
8-K 1 opy8-kinvestorpresentation.htm 8-K As filed with the Securities and Exchange Commission on July 29, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 29, 2019 OPPENHEIMER HOLDINGS INC. (Exact name of registrant as spe |
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| July 26, 2019 |
Results of Operations and Financial Condition As filed with the Securities and Exchange Commission on July 26, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 26, 2019 |
OPY / Oppenheimer Holdings Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1- |
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| June 20, 2019 |
OPY / Oppenheimer Holdings Inc. 11-K - - 11-K Oppenheimer & Co. Inc. 401(k) Plan Financial Report December 31, 2018 Oppenheimer & Co. Inc. 401(k) Plan Contents Report Letter 1 Statement of Net Assets Available for Plan Benefits 3 Statement of Changes in Net Assets Available for Plan Benefits 4 Notes to Financial Statements 5-10 Schedule of Assets Held at End of Year Schedule 1 Report of Independent Registered Public Accounting Firm To the Pla |
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| May 14, 2019 |
opyshareholdermeeting513 Oppenheimer Holdings Inc. Annual Stockholders’ Meeting New York, NY May 13, 2019 WELCOME to Oppenheimer’s 2019 Annual Stockholders’ Meeting May 13, 2019 1 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward-looking statements” within the mean |
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| May 14, 2019 |
As filed with the Securities and Exchange Commission on May 14, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 29, 2019 |
8-K 1 opy8-kinvestorpresentation.htm 8-K As filed with the Securities and Exchange Commission on April 29, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2019 OPPENHEIMER HOLDINGS INC. (Exact Name of Registrant as S |
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| April 29, 2019 |
a1q19investorpresentatio Oppenheimer Holdings Inc. First Quarter Update – 2019 Safe Harbor Statement This presentation and other written or oral statements made from time to time by representatives of Oppenheimer Holdings Inc. (the “company”) may contain “forward‐looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Excha |
