OPPENHEIMER HOLDINGS INC
For the period ended Dec 31, 2024. Filed Feb 27, 2025.
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FY2024 · Filed Feb 27, 2025
OPY$92.69+2.2%Stored close · as of Nov 9, 2026
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Item 16. Form 10-K Summary
EXHIBIT INDEX
Unless there is a parenthetical indicating that such document has been filed herewith, the Exhibits listed below have been heretofore filed by the Company pursuant to Section 13 or 15(d) of the Exchange Act and are hereby incorporated herein by reference to the pertinent prior filing.
| Number | Description |
| 3.1 | 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). |
| 3.2 | Amended and Restated By-Laws of Oppenheimer Holdings Inc. (previously filed as an exhibit to Form 10-K for the year ended December 31, 2021). |
| 4.1 | 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). |
| 4.2 | Registration Rights Agreement dated September 22, 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. Inc., as representative of the several Initial Purchasers (previously filed as exhibit 10.2 to Form 8-K dated September 22, 2020). |
| 4.3 | 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). |
| 10.1 | 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). |
| 10.2 | 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). |
| 10.3 | 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). |
| 10.4 | Form of Indemnification Agreement between Oppenheimer Holdings Inc. and the directors of Oppenheimer Holdings Inc., as the Indemnified Party, dated as of October 25, 2012. (previously filed as an exhibit to Form 10-K for the year ended December 31, 2012). |
| 10.5 | Oppenheimer & Co. Inc. Executive Deferred Compensation Plan (As Amended and Restated Effective January 1, 2005) (As Further Amended and Restated with respect to Specific Elective Accounts Effective as of March 1, 2013) (previously filed as an exhibit to Form 10-K for the year ended December 31, 2012). |
| 10.6 | Oppenheimer Holdings Inc. 2024 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). |
| 10.7 | Oppenheimer & Co. Inc. 2019 Executive Deferred Compensation Plan (previously filed as an exhibit to form 10-K for the year ended December 31, 2018). |
| 10.8 | Oppenheimer & Co. Inc. Investment Banking and Capital Market Deferred Compensation Plan (previously filed as an Exhibit to Form 8-K filed December 20, 2021). |
| 10.9 | Offer Letter dated May 6, 2022 between Brad M. Watkins and Oppenheimer Holdings Inc. (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). |
| 10.10 | 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). |
| 10.11 | Oppenheimer & Co. Inc. 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). |
| 10.12 | 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). |
| 19 | Insider Trading Policy (filed herewith). |
| 21 | Subsidiaries of the registrant (filed herewith). |
| 22 | Subsidiary Guarantors and Issuers of Registered Senior Secured Notes (filed herewith). |
| 23.1 | Consent of independent accountants (filed herewith). |
| 31.1 | Certification signed by A.G. Lowenthal (filed herewith). |
| 31.2 | Certification signed by Brad M. Watkins (filed herewith). |
| 32.1 | Certification pursuant to 18 U.S.C. Section 1350 signed by A.G. Lowenthal (furnished herewith). |
| 32.2 | Certification pursuant to 18 U.S.C. Section 1350 signed by Brad M. Watkins (furnished herewith). |
| 97 | Oppenheimer Holdings Inc. Compensation Recovery (Clawback) Policy adopted January 2011 and amended October 2023 (previously filed as exhibit 97 to Form 10K for the year ended December 31, 2023). |
| 101 | Interactive data files pursuant to Rule 405 of Regulation S-T: (i) the Consolidated Balance Sheets as of December 31, 2024 and December 31, 2023, (ii) the Consolidated Income Statements for the three years ended December 31, 2024, 2023 and 2022, (iii) the Consolidated Statements of Comprehensive Income for the three years ended December 31, 2024, 2023 and 2022, (iv) the Consolidated Statements of Changes in Stockholders' Equity for the three years ended December 31, 2024, 2023 and 2022, (v) the Consolidated Statements of Cash Flows for the three years ended December 31, 2024, 2023 and 2022, and (vi) the notes to the Consolidated Financial Statements.* |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). |
*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.
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