57 unchanged sentences
(previously filed as an exhibit to Form 10-K for the year ended December 31, 2021)
−Removed: 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).
−Removed: Registration Rights Agreement dated June 23, 2017 by and among Oppenheimer Holdings Inc., a Delaware corporation, E.A.
+Added: Indenture dated as of September 22, 2020 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 exhibit 4.1 to Form 8-K dated September 22, 2020).
+Added: Registration Rights Agreement dated September 22J, 2020 by and among Oppenheimer Holdings Inc., a Delaware corporation, E.A.
Viner International Co., a Delaware corporation, Viner Finance Inc., a Delaware corporation and Oppenheimer & Co.
−Removed: Inc., as representative of the several Initial Purchasers (previously filed as an exhibit to Form 8-K dated June 23, 2017).
+Added: Inc., as representative of the several Initial Purchasers (previously filed as exhibit 10.2 to Form 8-K dated September 22, 2020).
Assurance of Discontinuance, dated February 23, 2010, between the Attorney General of the State of New York and Oppenheimer & Co.
2 unchanged sentences
Consent Order from the Commonwealth of Massachusetts Division of Securities dated February 26, 2010 (previously filed as an exhibit to Form 10-K for the year ended December 31, 2009).
−Removed: Security Agreement by and among Oppenheimer Holdings Inc., as grantor, and each other grantor from time to time party thereto and the Bank of New York Mellon Trust Company, N.A., as Collateral Agent dated as of June 23, 2017 (previously filed as an exhibit to Form 8-K dated June 23, 2017).
+Added: Security Agreement by and among Oppenheimer Holdings Inc., as grantor, and each other grantor from time to time party thereto and the Bank of New York Mellon Trust Company, N.A., as Collateral Agent dated as of September 22, 2020 (previously filed as exhibit 10.1 to Form 8-K dated September 22, 2020).
First Amendment to Agreement of Lease dated January 29, 2013 between 85 Broad Street LLC, Landlord and Viner Finance Inc., Tenant for premises at 85 Broad Street, New York, NY (previously filed as an exhibit to Form 10-K for the year ended December 31, 2012).
23 unchanged sentences
Lowenthal (filed herewith).
−Removed: Certification signed by Jeffrey J.
−Removed: Alfano (filed herewith).
+Added: Certification signed by Brad M .
+Added: Watkins (filed herewith).
Certification pursuant to 18 U.S.C.
2 unchanged sentences
Certification pursuant to 18 U.S.C.
−Removed: Section 1350 signed by Jeffrey J.
−Removed: Alfano (filed herewith).
+Added: Section 1350 signed by Brad M .
+Added: Watkins (filed herewith).
101 Interactive data files pursuant to Rule 405 of Regulation S-T:
1 unchanged sentence
* 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 28th day of March, 2022.
+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 February, 2023.
OPPENHEIMER HOLDINGS INC.
−Removed: /s/ Jeffrey J.
−Removed: Alfano, Chief Financial Officer
+Added: Watkins, Chief Financial Officer
(on behalf of the Registrant)
1 unchanged sentence
Signature Title Date
−Removed: Alfano Chief Financial Officer (Principal Financial and Accounting Officer) February 28, 2022
+Added: Watkins Chief Financial Officer (Principal Financial and Accounting Officer) February 28, 2023
Behrens Director February 28, 2023
8 unchanged sentences
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.