55 unchanged sentences
Certificate of Incorporation of Oppenheimer Holdings Inc., a Delaware corporation (previously filed as an exhibit to Form 10-Q for the quarterly period ended June 30, 2009).
−Removed: Amended and Restated By - L aws of Oppenheimer Holdings Inc.
−Removed: (filed herewith) .
+Added: Amended and Restated By-Laws of Oppenheimer Holdings Inc.
+Added: (previously filed as an exhibit to Form 10-K for the year ended December 31, 2021)
Indenture dated as of June 23, 2017 among Oppenheimer Holdings Inc., the subsidiary guarantors, The Bank of New York Mellon Trust Company, N.A., as Trustee and The Bank of New York Mellon Trust Company, as Collateral Agent (previously filed as an exhibit to Form 8-K dated June 23, 2017).
23 unchanged sentences
2019 Executive Deferred Compensation Plan (previously filed as an exhibit to form 10-K for the year ended December 31, 2018)
+Added: Oppenheimer & Co.
+Added: 2021 Executive Deferred Compensation Plan (previously filed as an Exhibit to Form 8-K filed December 20, 2021).
Offer of Settlement, dated February 22, 2010, between the Commonwealth of Massachusetts Division of Securities and Oppenheimer & Co.
1 unchanged sentence
Subsidiaries of the registrant (filed herewith).
−Removed: Subsidiary Guarantors and Issuers of Registered Senior Secured Notes
+Added: Subsidiary Guarantors and Issuers of Registered Senior Secured Notes (filed herewith).
Consent of independent accountants (filed herewith).
12 unchanged sentences
* This information is furnished and not filed for purposes of Sections 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934.
−Removed: Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 1st day of March, 2021.
+Added: Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 28th day of March, 2022.
OPPENHEIMER HOLDINGS INC.
4 unchanged sentences
Signature Title Date
−Removed: Alfano Chief Financial Officer (Principal Financial and Accounting Officer) March 1, 2021
−Removed: Behrens Director March 1, 2021
−Removed: Dwyer Director March 1, 2021
−Removed: Ehrhardt Director March 1, 2021
−Removed: Friedman Director March 1, 2021
−Removed: Roth Director March 1, 2021
−Removed: Lowenthal Chairman, Chief Executive Officer (Principal Executive Officer), Director March 1, 2021
−Removed: Lowenthal Director March 1, 2021
−Removed: Oughtred Director March 1, 2021
−Removed: Glasser Director March 1, 2021
+Added: Alfano Chief Financial Officer (Principal Financial and Accounting Officer) February 28, 2022
+Added: Behrens Director February 28, 2022
+Added: Dwyer Director February 28, 2022
+Added: Ehrhardt Director February 28, 2022
+Added: Friedman Director February 28, 2022
+Added: Roth Director February 28, 2022
+Added: Lowenthal Chairman, Chief Executive Officer (Principal Executive Officer), Director February 28, 2022
+Added: Lowenthal Director, President February 28, 2022
+Added: Oughtred Director February 28, 2022
+Added: Glasser Director February 28, 2022
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.