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Oppenheimer Holdings (OPY)

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OPY » Topics » TABLE OF CONTENTS

These excerpts taken from the OPY 10-K filed Mar 3, 2009.

TABLE OF CONTENTS

Item Number		Page
PART 1
1.	Business	2
1A.	Risk Factors	16
1B.	Unresolved Staff Comments	28
2.	Properties	28
3.	Legal Proceedings	28
4.	Submission of Matters to a Vote of Security Holders	30

PART II
5.	Market for the Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities	32
6.	Selected Financial Data	37
7.	Management’s Discussion and Analysis of Financial Condition and Results of Operations	38
7A.	Quantitative and Qualitative Disclosures About Market Risk	58
8.	Financial Statements and Supplementary Data	62
9.	Changes in and Disagreements with Accountants on Accounting and Financial Disclosure	113
9A.	Controls and Procedures	113
9B.	Other Information	114

PART III
10.	Directors, Executive Officers and Corporate Governance	115
11.	Executive Compensation	115
12.	Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters	115
13.	Certain Relationships and Related Transactions and Director Independence	115
14.	Principal Accountant Fees and Services	116

PART IV
15.	Exhibits and Financial Statement Schedules	117

	Signatures	118
	Certifications	122

Throughout this annual report, we refer to Oppenheimer Holdings Inc., collectively with its subsidiaries, as the “Company.” We refer to the directly and indirectly owned subsidiaries of Oppenheimer Holdings Inc. collectively as the “Operating Subsidiaries.”

TABLE OF CONTENTS

Item Number		Page
PART 1
1.	Business	2
1A.	Risk Factors	16
1B.	Unresolved Staff Comments	28
2.	Properties	28
3.	Legal Proceedings	28
4.	Submission of Matters to a Vote of Security Holders	30

PART II
5.	Market for the Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities	32
6.	Selected Financial Data	37
7.	Management’s Discussion and Analysis of Financial Condition and Results of Operations	38
7A.	Quantitative and Qualitative Disclosures About Market Risk	58
8.	Financial Statements and Supplementary Data	62
9.	Changes in and Disagreements with Accountants on Accounting and Financial Disclosure	113
9A.	Controls and Procedures	113
9B.	Other Information	114

PART III
10.	Directors, Executive Officers and Corporate Governance	115
11.	Executive Compensation	115
12.	Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters	115
13.	Certain Relationships and Related Transactions and Director Independence	115
14.	Principal Accountant Fees and Services	116

PART IV
15.	Exhibits and Financial Statement Schedules	117

	Signatures	118
	Certifications	122

This excerpt taken from the OPY DEF 14A filed Mar 27, 2008.

TABLE OF CONTENTS


	Page
	Number

Part I — Voting
Solicitation Of Proxies		1
Class A and Class B Shares		2
Appointment And Revocation Of Proxies		2

Part II — Particulars Of Matters To Be Acted Upon
1. Receive 2007 Annual Report To Shareholders		3
2. Election Of Directors		3
3. Appointment Of Auditors		7
4. Approve share-based compensation arrangements:
Authorize the issue of up to 380,000 additional Class A non-voting shares to the Oppenheimer & Co. Inc. Employee Share Plan		7
5. Other Matters		8

Part III — Corporate Governance
Statement of Corporate Governance Practices		9
Report of The Audit Committee		9
Report of the Nominating/Corporate Governance Committee		10

Part IV — Compensation And Other Matters
Compensation Discussion and Analysis		11
Report of the Compensation and Stock Option Committee		17
Summary Compensation Table		18
All Other Compensation Table		19
Grants of Plan-Based Awards Table		19
Outstanding Equity Awards Table		20
Options Exercised and Stock Vested Table		20
Nonqualified Deferred Compensation Table		21
Security Ownership Of Certain Beneficial Owners And Management		21
Certain Relationships And Related Transactions		24
Normal Course Issuer Bid		24
Incorporation By Reference		25
Shareholder Proposals		25
Communication With The Board		25
Directors’ Approval		25
Schedule A — Summary of Corporate Governance Practices		A-1

These excerpts taken from the OPY 10-K filed Mar 7, 2008.

TABLE OF CONTENTS

Item Number		Page
PART 1
1.	Business	2
1A.	Risk Factors	12
1B.	Unresolved Staff Comments	22
2.	Properties	22
3.	Legal Proceedings	23
4.	Submission of Matters to a Vote of Security Holders	23

PART II
5.	Market for the Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities	24
6.	Selected Financial Data	28
7.	Management’s Discussion and Analysis of Financial Condition and Results of Operations	29
7A.	Quantitative and Qualitative Disclosures About Market Risk	45
8.	Financial Statements and Supplementary Data	48
9.	Changes in and Disagreements with Accountants on Accounting and Financial Disclosure	89
9A.	Controls and Procedures	89
9B.	Other Information	90

PART III
10.	Directors and Executive Officers of the Registrant	91
11.	Executive Compensation	91
12.	Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters	91
13.	Certain Relationships and Related Transactions	91
14.	Principal Accountant Fees and Services	92

PART IV
15.	Exhibits and Financial Statement Schedules	93

	Signatures	94
	Certifications	99

TABLE OF CONTENTS

Item Number		Page
PART 1
1.	Business	2
1A.	Risk Factors	12
1B.	Unresolved Staff Comments	22
2.	Properties	22
3.	Legal Proceedings	23
4.	Submission of Matters to a Vote of Security Holders	23

PART II
5.	Market for the Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities	24
6.	Selected Financial Data	28
7.	Management’s Discussion and Analysis of Financial Condition and Results of Operations	29
7A.	Quantitative and Qualitative Disclosures About Market Risk	45
8.	Financial Statements and Supplementary Data	48
9.	Changes in and Disagreements with Accountants on Accounting and Financial Disclosure	89
9A.	Controls and Procedures	89
9B.	Other Information	90

PART III
10.	Directors and Executive Officers of the Registrant	91
11.	Executive Compensation	91
12.	Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters	91
13.	Certain Relationships and Related Transactions	91
14.	Principal Accountant Fees and Services	92

PART IV
15.	Exhibits and Financial Statement Schedules	93

	Signatures	94
	Certifications	99

This excerpt taken from the OPY DEF 14A filed Mar 23, 2007.

TABLE OF CONTENTS


	Page
	Number

Part I — Voting
Solicitation Of Proxies		1
Class A Shares and Class B Shares		2
Appointment And Revocation Of Proxies		2

Part II — Particulars Of Matters To Be Acted Upon
1. 2006 Annual Report To Shareholders		3
2. Election Of Directors		3
3. Appointment Of Auditors		6
4. Share-based Compensation Arrangements
(a) 2006 Equity Incentive Plan		7
(b) Issue of Class A Shares to the Oppenheimer & Co. Inc. 401(k) Plan		8
(c) April 27, 2006 Option Award		9
5. Other Matters		9

Part III — Corporate Governance
Statement of Corporate Governance Practices		10
Report of The Audit Committee		10
Report of the Nominating/Corporate Governance Committee		11

Part IV — Compensation And Other Matters
Compensation Discussion and Analysis		12
Report of the Compensation and Stock Option Committee		17
Summary Compensation Table		18
All Other Compensation Table		19
Grants of Plan-Based Awards Table		19
Outstanding Equity Awards Table		20
Options Exercised and Stock Vested Table		20
Nonqualified Deferred Compensation Table		21
Share Performance Graph		22
Security Ownership Of Certain Beneficial Owners And Management		22
Certain Relationships And Related Transactions		24
Normal Course Issuer Bid		25
Incorporation By Reference		26
Shareholder Proposals		26
Communications With The Board		26
Directors’ Approval		26

Schedule A — Summary of Corporate Governance Practices		A-1
Schedule B — 2006 Equity Incentive Plan		B-1

All dollar amounts expressed herein are U.S. dollars.

This excerpt taken from the OPY 10-K filed Mar 8, 2007.

TABLE OF CONTENTS

Item Number		Page
PART 1
1.	Business	2
1A.	Risk Factors	15
1B.	Unresolved Staff Comments	23
2.	Properties	23
3.	Legal Proceedings	23
4.	Submission of Matters to a Vote of Security Holders	24

PART II
5.	Market for the Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities	25
6.	Selected Financial Data	29
7.	Management’s Discussion and Analysis of Financial Condition and Results of Operations	30
7A.	Quantitative and Qualitative Disclosures About Market Risk	46
8.	Financial Statements and Supplementary Data	49
9.	Changes in and Disagreements with Accountants on Accounting and Financial Disclosure	87
9A.	Controls and Procedures	87
9B.	Other Information	87

PART III
10.	Directors and Executive Officers of the Registrant	88
11.	Executive Compensation	88
12.	Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters	88
13.	Certain Relationships and Related Transactions	88
14.	Principal Accountant Fees and Services	89

PART IV
15.	Exhibits and Financial Statement Schedules	90

	Signatures	91
	Certifications	95

EXCERPTS ON THIS PAGE:

10-K (2 sections)	Mar 3, 2009

DEF 14A	Mar 27, 2008

10-K (2 sections)	Mar 7, 2008

DEF 14A	Mar 23, 2007

10-K	Mar 8, 2007

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Oppenheimer Holdings (OPY)

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Table of Contents

Table of Contents

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