<SEC-DOCUMENT>0000791963-15-000012.txt : 20150707
<SEC-HEADER>0000791963-15-000012.hdr.sgml : 20150707
<ACCEPTANCE-DATETIME>20150707155046
ACCESSION NUMBER:		0000791963-15-000012
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20150707
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20150707
DATE AS OF CHANGE:		20150707

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:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-12043
		FILM NUMBER:		15976563

	BUSINESS ADDRESS:	
		STREET 1:		85 BROAD STREET
		STREET 2:		22ND FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10004
		BUSINESS PHONE:		(212) 825-4331

	MAIL ADDRESS:	
		STREET 1:		85 BROAD STREET
		STREET 2:		22ND FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10004

	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>a8kfriedman063015.htm
<DESCRIPTION>8-K
<TEXT>
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<a name="sD6E808A8128B57FC33C869E75C57FDBB"></a><div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div></div><br><div style="line-height:120%;text-align:center;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;">As filed with the Securities and Exchange Commission on July 7, 2015</font></div><div style="line-height:120%;text-align:center;font-size:9pt;"><font style="font-family:inherit;font-size:9pt;">___________________________________________________</font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">UNITED STATES</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">SECURITIES AND EXCHANGE COMMISSION</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">WASHINGTON, D.C. 20549</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">FORM 8-K</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">CURRENT REPORT </font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">Pursuant to Section 13 or 15(d) of the</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">Securities Exchange Act of 1934</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Date of report (Date of earliest event reported): July 7, 2015</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">OPPENHEIMER HOLDINGS INC.</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">(Exact Name of Registrant as Specified in Charter)</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">Commission File Number 1-12043</font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><div style="padding-left:0px;text-indent:0px;line-height:normal;padding-top:10px;"><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman;font-size:10pt;margin-left:auto;margin-right:auto;width:82.05128205128204%;border-collapse:collapse;text-align:left;"><tr><td colspan="1"></td></tr><tr><td width="100%"></td></tr><tr><td style="vertical-align:middle;padding-left:1px;padding-top:2px;padding-bottom:2px;padding-right:1px;"><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">Delaware                                                98-0080034</font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">(State of incorporation)            (IRS Employer Identification Number)</font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">85 Broad Street, New York, NY 10004</font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">(Address of Principal Executive Offices) (Zip Code)</font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">(212) 668-8000</font></div><div style="padding-bottom:1px;padding-top:1px;text-align:center;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">(Registrant&#8217;s telephone number, including area code)</font></div></td></tr><tr><td style="vertical-align:bottom;padding-left:2px;padding-top:2px;padding-bottom:2px;padding-right:2px;"><div style="overflow:hidden;height:18px;font-size:10pt;"><font style="font-family:inherit;font-size:10pt;">&#160;</font></div></td></tr></table></div></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;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.): </font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">|_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">|_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CRF 240.14a-12) </font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">|_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">|_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </font></div><br><div><div style="line-height:120%;text-align:left;font-size:8pt;"><font style="font-family:inherit;font-size:8pt;"><br></font></div><div style="line-height:120%;text-align:left;font-size:8pt;"><font style="font-family:inherit;font-size:8pt;">131069.00101/6846722v.1</font></div></div><hr style="page-break-after:always"><a name="sD6E808A8128B57FC33C869E75C57FDBB"></a><div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div></div><br><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">SECTION 5 &#8211; CORPORATE GOVERNANCE AND MANAGEMENT</font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:left;padding-left:48px;text-indent:-48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">ITEM 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</font></div><div style="line-height:120%;text-align:left;padding-left:24px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:left;text-indent:48px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">(d)  The Board of Directors of Oppenheimer Holdings Inc. (the &#8220;Company&#8221;) elected Paul M. Friedman a director of the Company effective July 7, 2015. Mr. Friedman, 60, was until March 31, 2015 a Senior Managing Director and Chief Operating Officer of Guggenheim Securities, LLC since November 2009.  Mr. Friedman also served as a member of Guggenheim&#8217;s Management Committee and had direct oversight of most business support groups including operations, technology, new business integration, financial operations and regulatory reporting.  Prior to joining Guggenheim, Mr. Friedman was a Managing Director of Mariner Investment Group from June 2008 to October 2009 and worked at Bear Stearns and Co., Inc. from 1981 to 2008, last serving as Chief Operating Officer of the Fixed Income Division.  He started his career as an accountant at Coopers and Lybrand.  Mr. Friedman has an undergraduate degree from Colgate University and an MS (Finance) from the NYU Stern School of Business. He is expected to serve on the Compensation Committee of the Company&#8217;s Board of Directors and to participate in the Company&#8217;s 2014 Incentive Plan with other directors of the Company.</font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><br><div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">2</font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div></div><hr style="page-break-after:always"><a name="sD6E808A8128B57FC33C869E75C57FDBB"></a><div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div></div><br><div style="line-height:120%;text-align:center;padding-left:36px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">SIGNATURES</font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-indent:48px;font-size:12pt;"><font style="font-family:inherit;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. </font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">Oppenheimer Holdings Inc. </font></div><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:center;font-size:12pt;"><div style="padding-left:0px;text-indent:0px;line-height:normal;padding-top:10px;"><table cellpadding="0" cellspacing="0" style="font-family:Times New Roman;font-size:10pt;margin-left:auto;margin-right:auto;width:83.11965811965813%;border-collapse:collapse;text-align:left;"><tr><td colspan="1"></td></tr><tr><td width="100%"></td></tr><tr><td style="vertical-align:middle;padding-left:1px;padding-top:2px;padding-bottom:2px;padding-right:1px;"><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">Date: July 7, 2015</font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">By: /s/ A.G. Lowenthal</font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">---------------------------------</font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">A.G. Lowenthal</font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">Chairman of the Board and Chief Executive Officer</font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">(Duly Authorized Officer and</font></div><div style="padding-bottom:1px;padding-top:1px;padding-left:1px;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-style:italic;">Principal Executive Officer)</font></div></td></tr></table></div></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><a name="s068D1ABCC3D5030469E469E75C8946E4"></a><div style="line-height:120%;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><br><div><div style="line-height:120%;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">3</font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div></div>	</body>
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