16 unchanged sentences
Section 303A.12(a) CEO Certification
−Removed: The Company submitted a Section 12(a) CEO Certification to the New York Stock Exchange on June 4, 2024 with respect to fiscal 2023.
+Added: The Company submitted a Section 12(a) CEO Certification to the New York Stock Exchange on May 29, 2025 with respect to fiscal 2024.
Sarbanes-Oxley Act Section 302 CEO and CFO Certifications
46 unchanged sentences
(previously filed as an exhibit to Form 10-K for the year ended December 31, 2021).
−Removed: 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).
−Removed: Registration Rights Agreement dated September 22, 2020 by and among Oppenheimer Holdings Inc., a Delaware corporation, E.A.
−Removed: 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 exhibit 10.2 to Form 8-K dated September 22, 2020).
−Removed: Description of the Registrant's Common Stock (previously filed as an exhibit 4.3 to Form 10-K for the year ended December 31, 2023).
+Added: Description of the Registrant's Common Stock (previously filed as Exhibit 4.3 to Form 10-K for the year ended December 31, 2023).
Lease dated July 15, 2011 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-Q for the quarterly period ended June 30, 2011).
−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 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).
5 unchanged sentences
Oppenheimer Holdings Inc.
−Removed: 20 2 4 Incentive Plan (previously filed as an exhibit 10.1 to Quarterly Report on Form 10-Q for the quarter ended June 30, 2024 filed with the SEC on July 26, 2024 ).
+Added: 2024 Incentive Plan (previously filed as Exhibit 10.1 to Quarterly Report on Form 10-Q for the quarter ended June 30, 2024 filed with the SEC on July 26, 2024).
Oppenheimer & Co.
1 unchanged sentence
Oppenheimer & Co.
−Removed: Investment Banking and Capital Market Deferred Compensation Plan (previously filed as an Exhibit to Form 8-K filed December 20, 2021).
+Added: Investment Banking and Capital Market Deferred Compensation Plan (previously filed as an e xhibit to Form 8-K filed December 20, 2021).
Offer Letter dated May 6, 2022 between Brad M.
Watkins and Oppenheimer Holdings Inc.
−Removed: (previously filed as an Exhibit to Form 10-K/A for the year ended December 31, 2022 filed with the SEC on March 3, 2023).
−Removed: Lease dated October 15, 2018 between Chrysler East Building, L.L.C., Landlord, and Viner Finance Inc., Tenant, for premises at 666 Third Avenue, New York, New York (previously filed as an Exhibit to Form 10-K/A for the year ended December 31, 2022 filed with the SEC on March 3, 2023).
+Added: (previously filed as an e xhibit to Form 10-K/A for the year ended December 31, 2022 filed with the SEC on March 3, 2023).
+Added: Lease dated October 15, 2018 between Chrysler East Building, L.L.C., Landlord, and Viner Finance Inc., Tenant, for premises at 666 Third Avenue, New York, New York (previously filed as an e xhibit to Form 10-K/A for the year ended December 31, 2022 filed with the SEC on March 3, 2023).
Oppenheimer & Co.
−Removed: Stock Appreciation Right Plan (previously filed as an Exhibit to Form 10-K/A for the year ended December 31, 2022 filed with the SEC on March 3, 2023).
−Removed: Third Amendment to Agreement of Lease dated June 13, 2023 between 666 Third Avenue LLC (Landlord) and Viner Finance Inc., Tenant for premises at 45 Rockefeller Plaza, New York, NY (previously filed as an Exhibit to Form 10-Q for the quarterly period ended June 30, 2023).
−Removed: Insider Trading Policy (filed herewith).
+Added: Stock Appreciation Right Plan (previously filed as an e xhibit to Form 10-K/A for the year ended December 31, 2022 filed with the SEC on March 3, 2023).
+Added: Third Amendment to Agreement of Lease dated June 13, 2023 between 666 Third Avenue LLC (Landlord) and Viner Finance Inc., Tenant for premises at 45 Rockefeller Plaza, New York, NY (previously filed as an e xhibit to Form 10-Q for the quarterly period ended June 30, 2023).
+Added: Insider Trading Policy (previously filed as E xhibit 19 to Form 10-K for the year ended December 31, 202 4 filed with the SEC on February 27,2025 ).
Subsidiaries of the registrant (filed herewith).
−Removed: Subsidiary Guarantors and Issuers of Registered Senior Secured Notes (filed herewith).
Consent of independent accountants (filed herewith).
−Removed: Certification signed by A.G.
+Added: Certification signed by Robert S.
Lowenthal (filed herewith).
2 unchanged sentences
Certification pursuant to 18 U.S.C.
−Removed: Section 1350 signed by A.G.
−Removed: Lowenthal (f urnished herewith).
+Added: Section 1350 signed by Robert S.
+Added: Lowenthal (furnished herewith).
Certification pursuant to 18 U.S.C.
Section 1350 signed by Brad M.
−Removed: Watkins (f urnished herewith).
+Added: Watkins (furnished herewith).
Oppenheimer Holdings Inc.
15 unchanged sentences
Roth Director February 26, 2026
−Removed: Lowenthal Chairman, Chief Executive Officer (Principal Executive Officer), Director February 27, 2025
−Removed: Lowenthal Director, President February 27, 2025
+Added: Lowenthal Chairman, Director February 26, 2026
+Added: Lowenthal Director, President, Chief Executive Officer (Principal Executive Officer) February 26, 2026
Glasser Director February 26, 2026
2 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.