OPY » Topics » Item 9.01 Financial Statements and Exhibits

This excerpt taken from the OPY 8-K filed May 11, 2009.

Item 9.01  Financial Statements and Exhibits


(d) Exhibits


Exhibit No.

Description



99.1     

Press Release, dated May 11, 2009, regarding the change of jurisdiction of

  incorporation of Oppenheimer Holdings Inc. from Canada to the           State of Delaware             





SIGNATURES


Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.



 

 

 

Oppenheimer Holdings Inc.

 

 

 

 

 

 

 

 

 

 

 

 

Date: May 11, 2009

By:   

 

“E.K. Roberts”

 

 

 

 

 

E.K. Roberts

 

 

 

 

 

President and Treasurer

(Duly Authorized Officer)




3

A/72998908.7



EXHIBIT INDEX



Exhibit No.

Description



99.1     

Press Release, dated May 11, 2009, regarding the change of jurisdiction of

  incorporation of Oppenheimer Holdings Inc. from Canada to the           State of Delaware             




4

A/72998908.7


This excerpt taken from the OPY 8-K filed Mar 13, 2009.

Item 9.01.    Financial Statements and Exhibits.


(d)  Exhibits.


Exhibit No.

Description


99.1

Oppenheimer Holdings Inc. Press Release issued March 13, 2009

 


  



SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  

 

Oppenheimer Holdings Inc.

 

     

 

     

Date: March 13, 2009

By:

 

/s/ E.K. Roberts

 

 

 

 

 

E.K. Roberts

 

 

 

 

 

President and Treasurer

(Duly Authorized Officer and Principal Financial Officer)

 

     



EXHIBIT INDEX


Exhibit No.

Description


 

99.1    

Oppenheimer Holdings Inc. Press Release issued March 13, 2009




This excerpt taken from the OPY 8-K filed Mar 11, 2009.

Item 9.01.    Financial Statements and Exhibits.


(d)  Exhibits.


Exhibit No.

Description


99.1

Oppenheimer Holdings Inc. Press Release issued March 11, 2009

 


  



SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  

 

Oppenheimer Holdings Inc.

 

     

 

     

Date: March 11, 2009

By:

 

/s/ E.K. Roberts

 

 

 

 

 

E.K. Roberts

 

 

 

 

 

President and Treasurer

(Duly Authorized Officer and Principal Financial Officer)

 

     



EXHIBIT INDEX


Exhibit No.

Description


 

99.1    

Oppenheimer Holdings Inc. Press Release issued March 11, 2009



 




This excerpt taken from the OPY 8-K filed Mar 11, 2009.

Item 9.01.    Financial Statements and Exhibits.


(d)  Exhibits.


Exhibit No.

Description


99.1

Oppenheimer Holdings Inc. Amended Press Release dated March 11, 2009

 


  



SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  

 

Oppenheimer Holdings Inc.

 

     

 

     

Date: March 11, 2009

By:

 

/s/ E.K. Roberts

 

 

 

 

 

E.K. Roberts

 

 

 

 

 

President and Treasurer

(Duly Authorized Officer and Principal Financial Officer)

 

     



EXHIBIT INDEX


Exhibit No.

Description


 

99.1    

Oppenheimer Holdings Inc. Amended Press Release issued March 11, 2009



 





This excerpt taken from the OPY 8-K filed Dec 16, 2008.

ITEM 9.01.  Financial Statements and Exhibits


(d) Exhibits


10.1

Third Amendment to Senior Secured Credit Agreement dated as of December 16, 2008, by and among E.A. Viner International Co., Oppenheimer Holdings Inc., Viner Finance Inc., each of the lenders party to the Existing Credit Agreement and Morgan Stanley Senior Funding, Inc., as administrative agent.

 

99.1

Oppenheimer Holdings Inc. Press Release issued December 16, 2008.

 




SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.


Date: December 16, 2008


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 




This excerpt taken from the OPY 8-K filed Nov 19, 2008.

ITEM 9.01.  Financial Statements and Exhibits


(d) Exhibits


99.1

Oppenheimer Holdings Inc. Press Release issued November 18, 2008

 




SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: November 19, 2008


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 





This excerpt taken from the OPY 8-K filed Jan 15, 2008.

ITEM 9.01.  Financial Statements and Exhibits


99.1

Oppenheimer Holdings Inc. Press Release issued January 14, 2008



SIGNATURES


Pursuant to the requirements 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.


Oppenheimer Holdings Inc.


Date: January 14, 2008


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)



 




This excerpt taken from the OPY 8-K filed Dec 27, 2007.

ITEM 9.01.  Financial Statements and Exhibits


None 




SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: December 27, 2007


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 




This excerpt taken from the OPY 8-K filed Nov 13, 2007.

ITEM 9.01.  Financial Statements and Exhibits


99.1

Oppenheimer Holdings Inc. Press Release issued November 4, 2007*

*  Previously filed



SIGNATURES


Pursuant to the requirements 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.


Oppenheimer Holdings Inc.


Date: November 9, 2007


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)






This excerpt taken from the OPY 8-K filed Nov 5, 2007.

ITEM 9.01.  Financial Statements and Exhibits


99.1

Oppenheimer Holdings Inc. Press Release issued November 4, 2007





SIGNATURES


Pursuant to the requirements 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.


Oppenheimer Holdings Inc.


Date: November 5, 2007


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 



This excerpt taken from the OPY 8-K filed Oct 31, 2007.

ITEM 9.01.  Financial Statements and Exhibits


None 




SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: October 30, 2007


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 




This excerpt taken from the OPY 8-K filed Oct 23, 2006.

ITEM 9.01.  Financial Statements and Exhibits

(d) Exhibits

Exhibit Reference

Number

Exhibit Description

99.1

Oppenheimer Holdings Inc. Press Release, dated October 23, 2006.

99.2

Oppenheimer Holdings Inc. Press Release, dated October 10, 2006.  

 



3




SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.


Oppenheimer Holdings Inc.

Date: October 23, 2006


By: “E.K. Roberts”

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)




4



This excerpt taken from the OPY 8-K filed Oct 4, 2006.

ITEM 9.01.  Financial Statements and Exhibits


Exhibit Reference

Number

Exhibit Description

 

 

99.1

Oppenheimer Holdings Inc. press release, dated October 4, 2006.

 


SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: October 4, 2006


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 



This excerpt taken from the OPY 8-K filed Aug 3, 2006.

ITEM 9.01.  Financial Statements and Exhibits

(d) Exhibits

Exhibit Reference

Number

Exhibit Description

4.1

Variable Rate Exchangeable Debenture, dated July 31, 2006, issued by E. A. Viner International Co. to the Canadian Imperial Bank of Commerce.

 10.1

Securities Purchase Agreement, dated as of July 31, 2006, by and among Oppenheimer Holdings Inc., E. A. Viner International Co. and the Canadian Imperial Bank of Commerce.  

10.2

Senior Secured Credit Agreement, dated as of July 31, 2006, by and among E. A. Viner International Co., as borrower, and the other credit parties thereto from time to time, as guarantors, and the lenders party thereto from time to time, and Morgan Stanley Senior Funding, Inc., as administrative agent and syndication agent, and Morgan Stanley & Co. Incorporated, as collateral agent.

10.3

Pledge and Security Agreement, dated as of July 31, 2006, by and among E. A. Viner International Co., as borrower, and the other credit parties thereto from time to time, as guarantors, and Morgan Stanley & Co. Incorporated,

as collateral agent.

  

99.1

Oppenheimer Holdings Inc. Press Release, dated July 31, 2006.

 



4






SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.


Oppenheimer Holdings Inc.

Date: August 3, 2006


By: “E.K. Roberts”

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 





This excerpt taken from the OPY 8-K filed Jun 16, 2006.

ITEM 9.01.  Financial Statements and Exhibits


Exhibit Reference

Number

Exhibit Description

 

 

99.1

Oppenheimer Holdings Inc. press release, dated June 16, 2006.

 




SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: June 16, 2006


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 




This excerpt taken from the OPY 8-K filed Jan 9, 2006.

ITEM 9.01.  Financial Statements and Exhibits


Exhibit Reference

Number

Exhibit Description

 

 

99.1

Oppenheimer Holdings Inc. press release, dated January 9, 2006.

 


SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: January 9, 2006


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 




This excerpt taken from the OPY 8-K filed Dec 30, 2005.

ITEM 9.01.  Financial Statements and Exhibits


Exhibit Reference

Number

Exhibit Description

 

 

99.1

Oppenheimer Holdings Inc. press release, dated December 30, 2005.

 


SIGNATURES

Pursuant to the requirements 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.


Oppenheimer Holdings Inc.

Date: December 29, 2005


By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

 

 

 




2



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