<SEC-DOCUMENT>0000791963-11-000003.txt : 20110511
<SEC-HEADER>0000791963-11-000003.hdr.sgml : 20110511
<ACCEPTANCE-DATETIME>20110511164124
ACCESSION NUMBER:		0000791963-11-000003
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20110509
ITEM INFORMATION:		Submission of Matters to a Vote of Security Holders
FILED AS OF DATE:		20110511
DATE AS OF CHANGE:		20110511

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			OPPENHEIMER HOLDINGS INC
		CENTRAL INDEX KEY:			0000791963
		STANDARD INDUSTRIAL CLASSIFICATION:	SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
		IRS NUMBER:				980080034
		STATE OF INCORPORATION:			A6
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-12043
		FILM NUMBER:		11832384

	BUSINESS ADDRESS:	
		STREET 1:		SUITE 1110, P.O. BOX 2015
		STREET 2:		20 EGLINTON AVE. WEST
		CITY:			TORONTO
		STATE:			A6
		ZIP:			M4R 1K8
		BUSINESS PHONE:		(416)322-1515

	MAIL ADDRESS:	
		STREET 1:		PO BOX 2015 SUITE 1110
		STREET 2:		20 EGLINTON AVENUE WEST
		CITY:			TORONTO
		STATE:			A6
		ZIP:			M4R 1K8

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	FAHNESTOCK VINER HOLDINGS INC
		DATE OF NAME CHANGE:	19950725

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	VINER E A HOLDINGS LTD
		DATE OF NAME CHANGE:	19880622

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	GOLDALE INVESTMENTS LTD
		DATE OF NAME CHANGE:	19861030
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>f8k05112011.htm
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<A NAME="OLE_LINK1"></A><P style="margin:0pt; line-height:11pt; font-family:Times New Roman; font-size:9pt" align=center>As filed with the Securities and Exchange Commission on May 11, 2011</P>
<P style="margin:0pt; line-height:11pt; font-family:Times New Roman; font-size:9pt" align=center>___________________________________________________</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>UNITED STATES</B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>SECURITIES AND EXCHANGE COMMISSION</B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>Washington, D.C. 20549</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>FORM 8-K</B></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>CURRENT REPORT </B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>PURSUANT TO SECTION 13 OR 15(d)</B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>OF THE SECURITIES EXCHANGE ACT OF 1934</B></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>Date of Report (date of earliest event reported): May 9, 2011</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>OPPENHEIMER HOLDINGS INC.</B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>(Exact Name of Registrant as Specified in its Charter)</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><I>Commission File Number 1-12043</I></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><B><BR></B></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<TABLE style="font-size:10pt" cellspacing=0 align=center><TR><TD width=512><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>Delaware &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;98-0080034</P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>(State of incorporation) &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(IRS employer identification number)</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>125 Broad Street, New York, NY 10004</P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>(Address of principal executive offices) (Zip code)</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt" align=center><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>(212) 668-8000</P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center>(Registrant&#146;s telephone number, including area code)</P>
</TD></TR>
<TR><TD width=512><P style="margin:0pt; font-family:Times New Roman; font-size:12pt">&nbsp;</P>
</TD></TR>
</TABLE>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2.): </P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">|_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">|_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CRF 240.14a-12) </P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">|_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">|_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR>
<BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">1</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="page-break-before:always; margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><B>SECTION 5 &#150; CORPORATE GOVERNANCE AND MANAGEMENT</B></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><B><BR></B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><B>ITEM 5.07. Submission of Matters to a Vote of Security Holders.</B></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin-top:0pt; margin-bottom:-14pt; padding-left:54pt; text-indent:-36pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">(a)</P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">On May 9, 2011, Oppenheimer Holdings Inc. (the &#147;Company&#148;) held its Annual Meeting of Stockholders (the &#147;Annual Meeting&#148;) in New York City.</P>
<P style="margin:0pt; padding-left:18pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin-top:0pt; margin-bottom:-14pt; padding-left:54pt; text-indent:-36pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">(b)</P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">At the Annual Meeting, the holders of the Company&#146;s Class B voting common stock (&#147;Class B Voting Stock&#148;) elected the eight directors named below to serve until their successors are elected and qualified. &nbsp;The votes for such persons were as follows:</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<TABLE style="font-size:10pt" cellspacing=0><TR><TD style="border-bottom:0.5pt solid #000000" valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=justify>Name</P>
</TD><TD style="border-bottom:0.5pt solid #000000" valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">For</P>
</TD><TD style="border-bottom:0.5pt solid #000000" valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">Withheld</P>
</TD><TD style="border-bottom:0.5pt solid #000000" valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">Broker Non-Votes</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=justify>R. Crystal</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=justify>W. Ehrhardt</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=justify>M.A.M. Keehner</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">A.G. Lowenthal</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">K.W. McArthur</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">A.W. Oughtred</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">E.K. Roberts</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
<TR><TD valign=top width=132><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=justify>B. Winberg</P>
</TD><TD valign=top width=72><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>96,516</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>0</P>
</TD><TD valign=top width=84><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=right>160</P>
</TD></TR>
</TABLE>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">In addition, at the Annual Meeting, the holders of the Company&#146;s Class B Voting Stock ratified the appointment of PricewaterhouseCoopers LLP as the Company&#146;s independent registered public accounting firm for the 2011 fiscal year and authorized the Audit Committee to fix such auditor&#146;s remuneration with 96,676 votes for such proposal, 0 votes against, and 0 abstentions as to such proposal.</P>
<P style="margin:0pt; padding-left:54pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">Further, at the Annual Meeting, the holders of the Company&#146;s Class B Voting Stock approved the issuance of up to 500,000 shares of Class A non-voting common stock to the Oppenheimer &amp; Co. Inc. Employee Share Plan with 96,496 votes for such proposal, 20 votes against, and 0 abstentions as to such proposal.</P>
<P style="margin:0pt; padding-left:54pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">With respect to the advisory (non-binding) vote on executive compensation, including change of control provisions, as described in the Company&#146;s proxy statement, holders of the Company&#146;s Class B Voting Stock voted for the proposal with 96,468 votes for such proposal, 8 votes against, and 40 abstentions as to such proposal.</P>
<P style="margin:0pt; padding-left:54pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; padding-left:54pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">With respect to the advisory (non-binding) vote on the frequency of an advisory vote on executive compensation, holders of the Company&#146;s Class B Voting Stock voted for the proposal with 95,440 votes for every three years, 1,026 votes for every two years, 10 votes for every year, 40 abstentions and 160 broker non-votes as to such proposal.</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin-top:0pt; margin-bottom:-14pt; padding-left:54pt; text-indent:-36pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">(c)</P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">Not applicable.</P>
<P style="margin-top:0pt; margin-bottom:-14pt; padding-left:54pt; text-indent:-36pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">(d)</P>
<P style="margin:0pt; padding-left:54pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">Not currently applicable.</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR>
<BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">2</P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="page-break-before:always; margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt" align=center><B>SIGNATURES</B></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">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. </P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><B>Oppenheimer Holdings Inc. </B></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><BR></P>
<TABLE style="font-size:10pt" cellspacing=0 align=center><TR><TD width=519.2><P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>Date: May 11, 2011</I></P>
<P style="margin:0pt; font-family:Times New Roman; font-size:12pt"><I><BR></I></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>By: /s/ E.K. Roberts</I></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>---------------------------------</I></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>E.K. Roberts</I></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>President and Treasurer</I></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>(Duly Authorized Officer and</I></P>
<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt"><I>Principal Financial Officer)</I></P>
</TD></TR>
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<P style="margin:0pt; line-height:14pt; font-family:Times New Roman; font-size:12pt">3</P>
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