1.3 Oppenheimer & Co., Inc. 2022 3 2022-10-31T16:07:08Z 2022 07 100.00 82.66 3.97 10.60 2.76 CITADEL SECURITIES LLC 49.70 50.09 49.78 48.32 43.09 5501.59 16.0000 883.70 16.0000 784.84 16.0000 146.61 10.9314 Oppenheimer receives remuneration from Citadel/CDRG based on a rate per shares executed of 16 cents per 100 shares. Arrangements with CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. Virtu Americas, LLC 46.28 46.93 39.95 42.41 50.51 3594.67 14.0000 662.75 14.0000 796.20 14.0000 66.78 14.0000 Oppenheimer receives remuneration from Virtu/NITE based on a rate per shares executed of 14 cents per 100 shares. Arrangements with NITE are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. 100.00 64.04 8.74 23.66 3.56 CITADEL SECURITIES LLC 48.85 49.52 48.91 47.89 43.09 21398.96 15.7101 8528.07 14.2910 6358.96 14.5225 476.07 6.2682 Oppenheimer receives remuneration from CDRG based on a rate per shares executed. Arrangements with CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Virtu Americas, LLC 45.87 47.07 42.22 43.15 51.38 12549.35 13.3493 6602.58 13.3262 4865.08 13.6282 278.35 14.0000 Oppenheimer receives remuneration from NITE based on a rate per shares executed. Arrangements with NITE are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Two Sigma Securities, LLC 5.17 3.39 7.92 8.95 5.27 900.72 14.5871 344.24 14.9247 337.34 14.7379 64.78 15.0000 Oppenheimer receives remuneration from Two Sigma/SOHO based on a rate per shares executed of 15 cents per 100 shares. Arrangements with SOHO are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. 100.00 8.85 9.17 64.54 17.43 CITADEL SECURITIES LLC 37.67 41.78 37.31 36.92 38.55 1813.75 34.1187 26816.97 37.6754 38673.52 39.7112 7373.25 40.2316 Oppenheimer receives remuneration from Citadel/CDRG based on a rate per contracts executed. Arrangements with Citadel/CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.75 for options that quote in nickel increments; $0.70 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, CDRG does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Global Execution Brokers, LP 35.79 39.71 36.10 34.63 37.94 1800.55 33.3744 20170.37 36.5518 26578.34 36.0238 33389.30 38.5362 Oppenheimer receives remuneration from Global Execution/GEBB based on a rate per contracts executed. Arrangements with GEBB are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.70 for options that quote in nickel increments; $0.75 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, GEBB does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Wolverine Execution Services, LLC 18.48 17.54 20.13 18.59 17.70 1223.75 29.7027 8831.75 36.7438 12360.70 40.1426 24429.10 44.7043 Oppenheimer receives remuneration from Wolverine/WEXX based on a rate per contracts executed. Arrangements with WEXX are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.70 for options that quote in nickel increments; $0.75 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, Wolverine does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Instinet, LLC 7.27 0.00 5.25 9.26 4.65 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Oppenheimer does not receive payment or other benefits from Instinet for directing orders to Instinet. Instinet charges Oppenheimer $0.04-0.45 per executed contract and will pass through to Oppenheimer any exchange net fess or rebates earned on Oppenheimer's orders. 2022 08 100.00 84.83 3.20 9.86 2.11 CITADEL SECURITIES LLC 48.47 48.74 47.97 47.38 43.56 8200.93 16.0000 1008.99 16.0000 1574.15 16.0000 102.61 8.2040 Oppenheimer receives remuneration from Citadel/CDRG based on a rate per shares executed of 16 cents per 100 shares. Arrangements with CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. Virtu Americas, LLC 47.27 48.06 41.87 42.14 47.56 5358.36 14.0000 813.41 14.0000 775.53 14.0000 124.05 14.0000 Oppenheimer receives remuneration from Virtu/NITE based on a rate per shares executed of 14 cents per 100 shares. Arrangements with NITE are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. 100.00 62.46 9.51 25.22 2.80 CITADEL SECURITIES LLC 49.08 49.39 49.49 48.92 42.40 29217.19 15.6834 19543.30 14.8296 17971.22 14.5479 508.90 8.7202 Oppenheimer receives remuneration from CDRG based on a rate per shares executed. Arrangements with CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Virtu Americas, LLC 45.19 46.70 41.92 42.09 50.72 18623.33 13.5008 13838.38 13.1943 10693.51 13.4563 802.67 14.0000 Oppenheimer receives remuneration from NITE based on a rate per shares executed. Arrangements with NITE are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Two Sigma Securities, LLC 5.61 3.89 7.84 8.91 6.57 1474.69 14.7727 553.27 15.0000 640.92 14.9650 75.94 15.0000 Oppenheimer receives remuneration from Two Sigma/SOHO based on a rate per shares executed of 15 cents per 100 shares. Arrangements with SOHO are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. 100.00 9.20 9.22 55.70 25.89 CITADEL SECURITIES LLC 36.68 42.62 33.77 36.30 36.42 3109.28 32.8329 19859.80 33.6727 32150.13 36.2885 15968.30 53.1533 Oppenheimer receives remuneration from Citadel/CDRG based on a rate per contracts executed. Arrangements with Citadel/CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.75 for options that quote in nickel increments; $0.70 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, CDRG does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Global Execution Brokers, LP 35.69 36.73 38.06 36.08 33.63 2731.40 34.2968 32300.76 38.3697 30705.83 36.4189 38686.95 43.4963 Oppenheimer receives remuneration from Global Execution/GEBB based on a rate per contracts executed. Arrangements with GEBB are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.70 for options that quote in nickel increments; $0.75 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, GEBB does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Wolverine Execution Services, LLC 20.62 19.46 21.79 19.83 22.29 1964.85 31.7321 12393.80 37.0817 13962.85 36.4680 28387.85 49.1735 Oppenheimer receives remuneration from Wolverine/WEXX based on a rate per contracts executed. Arrangements with WEXX are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.70 for options that quote in nickel increments; $0.75 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, Wolverine does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Instinet, LLC 5.48 0.08 4.29 6.61 5.39 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Oppenheimer does not receive payment or other benefits from Instinet for directing orders to Instinet. Instinet charges Oppenheimer $0.04-0.45 per executed contract and will pass through to Oppenheimer any exchange net fess or rebates earned on Oppenheimer's orders. 2022 09 100.00 86.53 2.87 8.18 2.41 CITADEL SECURITIES LLC 50.56 51.23 46.64 46.64 44.29 7211.40 16.0000 1263.47 16.0000 1295.12 16.0000 96.19 6.3083 Oppenheimer receives remuneration from Citadel/CDRG based on a rate per shares executed of 16 cents per 100 shares. Arrangements with CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. Virtu Americas, LLC 44.61 45.22 39.33 39.14 47.52 4642.06 13.9999 575.29 14.0000 1011.43 14.0000 131.20 14.0000 Oppenheimer receives remuneration from Virtu/NITE based on a rate per shares executed of 14 cents per 100 shares. Arrangements with NITE are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. 100.00 65.17 8.72 23.48 2.63 CITADEL SECURITIES LLC 48.31 49.02 46.54 47.27 45.76 23875.77 15.7682 11228.61 14.2729 9067.56 14.9735 626.51 8.8403 Oppenheimer receives remuneration from CDRG based on a rate per shares executed. Arrangements with CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Virtu Americas, LLC 43.95 45.87 39.27 40.17 45.71 14051.99 13.5751 8264.94 13.2288 5759.59 13.1342 717.54 14.0000 Oppenheimer receives remuneration from NITE based on a rate per shares executed. Arrangements with NITE are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Two Sigma Securities, LLC 5.23 3.41 9.16 8.67 6.35 860.40 14.8231 401.47 14.8772 374.78 14.9402 45.35 15.0000 Oppenheimer receives remuneration from Two Sigma/SOHO based on a rate per shares executed of 15 cents per 100 shares. Arrangements with SOHO are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer does not receive payment for odd lot orders or for stocks priced under $1.00. 100.00 12.97 8.74 57.83 20.46 CITADEL SECURITIES LLC 36.95 42.85 38.41 37.51 31.00 3797.52 31.4703 21095.64 37.9275 23741.93 42.3222 9726.59 56.6026 Oppenheimer receives remuneration from Citadel/CDRG based on a rate per contracts executed. Arrangements with Citadel/CDRG are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.75 for options that quote in nickel increments; $0.70 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, CDRG does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Global Execution Brokers, LP 34.13 38.49 33.60 33.19 34.25 3926.90 30.7823 21817.04 35.7030 20438.90 38.5240 49597.14 48.2631 Oppenheimer receives remuneration from Global Execution/GEBB based on a rate per contracts executed. Arrangements with GEBB are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.70 for options that quote in nickel increments; $0.75 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, GEBB does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Wolverine Execution Services, LLC 20.64 18.54 21.47 21.55 19.03 2609.40 30.7640 9718.70 37.1311 11557.05 41.4068 24715.90 44.3358 Oppenheimer receives remuneration from Wolverine/WEXX based on a rate per contracts executed. Arrangements with WEXX are not based upon order flow, volume minimums / maximums, decreased execution quality for increased payment, or the characteristics and categories of the order flow (i.e. order types). In addition, such arrangements do not include incentive or disincentive benchmarks. Oppenheimer receives per contract: $0.70 for options that quote in nickel increments; $0.75 for complex orders that quote in nickel increments; $0.25 for options that quote in penny increments; and, $0.35 for complex orders that trade in penny increments. For executions of Index options, Wolverine does not pay a fixed rate but will pass through any fess or rebates to Oppenheimer. Instinet, LLC 7.63 0.00 5.09 7.05 15.21 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Oppenheimer does not receive payment or other benefits from Instinet for directing orders to Instinet. Instinet charges Oppenheimer $0.04-0.45 per executed contract and will pass through to Oppenheimer any exchange net fess or rebates earned on Oppenheimer's orders.