OPPENHEIMER HOLDINGS INC. Material Contracts
Every material contract the company filed as Exhibit 10 (executive pay plans, credit agreements, supplier and indemnity agreements), newest first, with the filing's own description.
- 2026-04-27: Form 8-K; Exhibit 10.1; Description Settlement Term Sheet, dated April 24, 2026, by and among Oppenheimer Holdings Inc. and the plaintiff class in Liberty Capital Group v. Oppenheimer Holdings Inc., No. 1:25-cv-04822-JSR (S.D.N.Y.)..
- 2024-07-26: Form 10-Q; Exhibit 10.1; Description Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024).
- 2024-05-07: Form 8-K; Exhibit 10.1; Description Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024).
- 2023-07-28: Form 10-Q; Exhibit 10.12; Description 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..
| Filed | Form | Exhibit | Description |
|---|---|---|---|
| 2026-04-27 | 8-K | 10.1 | Settlement Term Sheet, dated April 24, 2026, by and among Oppenheimer Holdings Inc. and the plaintiff class in Liberty Capital Group v. Oppenheimer Holdings Inc., No. 1:25-cv-04822-JSR (S.D.N.Y.). |
| 2024-07-26 | 10-Q | 10.1 | Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024) |
| 2024-05-07 | 8-K | 10.1 | Oppenheimer Holdings Inc. 2024 Incentive Plan (Effective May 6, 2024) |
| 2023-07-28 | 10-Q | 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. |
| 2023-03-03 | 10-K/A | 10.12 | Oppenheimer & Co. Inc. Stock Appreciation Right Plan (filed herewith). |
| 2023-03-03 | 10-K/A | 10.11 | 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 (filed herewith). |
| 2023-03-03 | 10-K/A | 10.10 | Offer Letter dated May 6, 2022 between Brad M. Watkins and Oppenheimer Holdings Inc. (filed herewith). |
| 2020-09-22 | 8-K | 10.2 | Registration Rights Agreement, dated as of 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 the Initial Purchaser. |
| 2020-09-22 | 8-K | 10.1 | Security Agreement, dated as of September 22, 2020, 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. |
| 2019-03-01 | 10-K | 10.38 | Oppenheimer & Co. Inc. 2019 Executive Deferred Compensation Plan (filed herewith) |
| 2018-03-02 | 10-K | 10.37 | Amended and Restated Performance-Based Compensation Agreement between Oppenheimer Holdings Inc. and Albert G. Lowenthal effective as of May 11, 2015 (filed herewith). |
| 2017-06-23 | 8-K | 10.1 | Security Agreement, dated as of June 23, 2017, 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. |
| 2015-03-06 | 10-K | 10.36 | FinCEN Civil Monetary Assessment dated January 27, 2015 (filed herewith). |
| 2015-03-06 | 10-K | 10.35 | SEC Order Instituting Administrative Cease and Desist Proceedings dated January 27, 2015 (filed herewith). |
| 2014-03-07 | 10-K | 10.34 | Oppenheimer Holdings Inc. 2014 Incentive Plan (filed herewith). |
| 2013-03-06 | 10-K | 10.33 | 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) (filed herewith). |
| 2013-03-06 | 10-K | 10.32 | Form of Indemnification Agreement between Oppenheimer Holdings Inc. and the officers of Oppenheimer Holdings Inc., as the Indemnified Party, dated as of October 25, 2012 (filed herewith). |
| 2013-03-06 | 10-K | 10.31 | 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 (filed herewith). |
| 2013-03-06 | 10-K | 10.30 | 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 (filed herewith). |
| 2013-02-01 | 8-K | 10.1 | COPY OF THE REGISTRANT'S PRESS RELEASE DATED FEBRUARY 1, 2013 |
| 2011-08-09 | 10-Q | 10.1 | Exhibit 10.1 |
| 2011-05-05 | 10-Q | 10 | INDENTURE |
| 2011-05-05 | 10-Q | 10 | REGISTRATION RIGHTS AGREEMENT |
| 2011-05-05 | 10-Q | 10 | SECURITY AGREEMENT |
| 2011-03-02 | 10-K | 10 | Directors, Executive Officers and Corporate Governance |
| 2010-03-05 | 10-K | 10.24 | Consent Order from the Commonwealth of Massachusetts Division of Securities dated February 26, 2010 (filed herewith) |
| 2010-02-26 | 8-K | 10.2 | Offer of Settlement, dated February 22, 2010, between the Commonwealth of Massachusetts Division of Securities and Oppenheimer & Co. Inc., Albert Lowenthal, Robert Lowenthal and Greg White. |
| 2010-02-26 | 8-K | 10.1 | Assurance of Discontinuance, dated February 23, 2010, between the Attorney General of the State of New York and Oppenheimer & Co. Inc. |
| 2009-03-03 | 10-K | 10 | Directors, Executive Officers and Corporate Governance |