1.3 Oppenheimer & Co., Inc. 2020 2 2021-06-28T16:34:08Z 2020 04 100.00 71.12 3.25 10.18 15.45 Virtu Americas, LLC 51.83 49.74 50.74 54.63 59.80 9471.84 14.0000 3296.76 14.0000 4780.42 14.0000 1502.09 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price CITADEL SECURITIES LLC 48.11 50.17 49.26 45.36 40.20 11321.55 16.0000 4861.13 16.0000 4593.38 16.0000 1509.54 15.2688 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. 100.00 54.37 8.32 21.67 15.64 CITADEL SECURITIES LLC 53.15 50.99 53.94 53.20 60.15 42535.37 14.4009 43615.94 15.4358 42609.39 15.7305 23777.26 15.5754 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Virtu Americas, LLC 46.50 48.87 43.16 46.61 39.85 22486.70 13.0007 20030.73 13.3220 22519.49 13.8574 7127.02 13.9945 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. 100.00 9.86 7.82 81.27 1.06 Citigroup Global Markets 100.00 100.00 100.00 100.00 100.00 1296.30 5.7652 8276.39 10.1906 13392.13 6.8555 117270.63 42.2069 Oppenheimer receives remuneration from AUTO/Citigroup based on a rate per shares executed. Arrangements with AUTO/Citigroup 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type, price or trading increments. 2020 05 100.00 66.86 4.27 12.56 16.31 Virtu Americas, LLC 50.95 49.74 50.61 50.32 56.50 8110.77 14.0000 2563.63 14.0000 3618.11 14.0000 803.18 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price CITADEL SECURITIES LLC 49.05 50.26 49.39 49.68 43.50 10410.88 16.0000 4271.53 16.0000 4566.63 16.0000 856.41 14.1686 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. 100.00 50.81 9.10 24.48 15.61 CITADEL SECURITIES LLC 51.25 49.43 50.92 52.41 55.54 28900.76 13.5122 24396.66 14.7072 25633.62 15.6536 8203.49 14.8839 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Virtu Americas, LLC 48.59 50.54 47.54 47.57 44.46 22103.04 12.4799 16483.65 13.2107 19103.34 13.7972 4848.35 13.9136 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. 100.00 10.75 9.39 79.40 0.47 Citigroup Global Markets 98.77 100.00 99.72 98.49 100.00 12.00 0.0701 6964.46 6.0449 6226.94 4.1633 132837.20 41.9703 Oppenheimer receives remuneration from AUTO/Citigroup based on a rate per shares executed. Arrangements with AUTO/Citigroup 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type, price or trading increments. 2020 06 100.00 78.88 4.99 15.46 0.66 Virtu Americas, LLC 50.57 50.55 50.62 50.70 50.56 7801.58 14.0000 1806.33 14.0000 2320.02 14.0000 150.27 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price CITADEL SECURITIES LLC 49.43 49.45 49.38 49.30 49.44 10596.56 16.0000 2851.10 16.0000 3240.42 16.0000 219.11 13.8110 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. 100.00 56.00 11.37 31.86 0.77 CITADEL SECURITIES LLC 50.41 50.03 50.73 50.91 52.90 26205.06 15.2522 21118.56 14.2159 16598.25 15.2698 910.48 12.3305 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. Virtu Americas, LLC 49.34 49.91 47.44 49.08 47.10 18965.62 13.3961 12321.89 12.9583 11202.36 13.5479 634.51 13.5407 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type and or price. 100.00 10.56 10.39 78.57 0.49 Citigroup Global Markets 94.32 96.95 94.75 93.90 96.12 62.20 0.2651 5871.29 4.0078 4875.50 2.7561 90994.40 45.6275 Oppenheimer receives remuneration from AUTO/Citigroup based on a rate per shares executed. Arrangements with AUTO/Citigroup 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 include incentive or disincentive benchmarks. Payment for order flow rates may vary based on security type, price or trading increments.