1.3 Oppenheimer & Co., Inc. 2024 3 2024-10-29T00:00:10Z 2024 07 100.00 83.21 3.37 8.38 5.04 Virtu Americas, LLC 40.83 40.96 38.33 40.06 41.64 5121.08 14.0000 767.81 14.0000 837.33 14.0000 69.87 4.9535 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. CITADEL SECURITIES LLC 38.46 37.09 41.78 41.98 53.02 5980.10 16.0000 1406.00 16.0000 930.81 16.0000 162.50 8.6878 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. StoneX Financial, Inc. 14.72 15.77 13.88 12.45 1.61 2466.84 16.0000 260.42 16.0000 251.04 16.0000 39.45 16.0000 Oppenheimer receives remuneration from StoneX Financial, Inc./INTL based on a rate per shares executed of 16 cents per 100 shares. Arrangements with INTL 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 64.06 9.96 22.83 3.15 Virtu Americas, LLC 39.25 39.44 38.26 38.59 43.18 16862.28 13.5288 8674.56 13.2840 5716.77 13.3001 195.12 5.2133 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. CITADEL SECURITIES LLC 37.86 36.82 38.65 39.12 47.31 17100.25 15.1045 10076.93 14.2372 9520.37 14.7662 369.97 8.5271 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. StoneX Financial, Inc. 15.06 16.05 14.67 14.20 2.42 5939.21 15.8779 2246.66 15.3946 1618.80 15.5657 127.64 16.0000 Oppenheimer receives remuneration from StoneX Financial, Inc./INTL based on a rate per shares executed of 16 cents per 100 shares. Arrangements with INTL 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. 99.99 6.94 8.77 49.18 35.10 CITADEL SECURITIES LLC 35.25 52.29 43.58 45.66 15.23 3119.50 28.5799 16622.32 37.6496 15204.04 39.1312 13662.25 54.0865 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 22.03 24.31 28.87 28.15 11.29 1794.04 27.3440 20810.92 35.7183 36145.48 33.4278 30855.10 54.0218 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 16.89 21.45 24.10 21.49 7.76 2227.20 28.5429 18852.75 36.8275 17658.50 37.5537 57679.75 51.2973 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. Cboe EDGX Exchange, Inc. 3.24 0.00 0.08 0.04 9.16 0.00 0.0000 -2990.54 -35.1993 -2322.84 -24.5933 32312.76 37.9222 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. NYSE ARCA OPTIONS 3.20 0.00 0.16 1.31 7.25 0.00 0.0000 -3272.82 -46.2721 14247.67 20.6692 1664.86 12.9996 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Nasdaq ISE, LLC 3.00 0.00 0.12 0.07 8.39 0.00 0.0000 -3729.70 -49.0427 -3477.33 -42.8982 2666.21 15.3575 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Miami International Securities Exchange, LLC 2.64 0.00 0.12 0.03 7.47 0.00 0.0000 -331.42 -13.0791 -247.55 -8.9790 -104.21 -1.8586 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe Exchange, Inc. 2.13 0.00 0.12 0.05 5.95 0.00 0.0000 -1930.78 -34.4046 -1918.35 -27.8062 -4390.30 -32.2816 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe C2 Exchange, Inc. 1.81 0.00 0.12 0.06 5.06 0.00 0.0000 -3592.08 -50.7140 -6120.15 -49.7816 6343.23 32.0705 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. 2024 08 100.00 82.56 3.43 9.69 4.31 Virtu Americas, LLC 42.12 42.16 39.06 40.09 48.44 4509.73 14.0000 634.00 14.0000 626.73 14.0000 46.24 4.3393 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. CITADEL SECURITIES LLC 39.23 38.61 40.01 41.31 45.79 5734.05 16.0000 1644.05 16.0000 939.37 16.0000 100.49 8.5357 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. StoneX Financial, Inc. 12.67 13.40 13.24 10.81 2.62 2040.94 16.0000 230.17 16.0000 224.11 16.0000 14.12 16.0000 Oppenheimer receives remuneration from StoneX Financial, Inc./INTL based on a rate per shares executed of 16 cents per 100 shares. Arrangements with INTL 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 64.43 9.41 24.17 1.99 Virtu Americas, LLC 39.59 40.18 38.12 38.62 39.34 19934.41 13.5824 8433.96 12.6166 7667.84 13.2755 177.05 6.2762 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. CITADEL SECURITIES LLC 38.08 37.29 37.61 40.05 42.14 21042.57 15.7413 12348.98 13.4733 8233.34 14.5764 369.33 11.0281 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. StoneX Financial, Inc. 13.69 14.59 14.22 12.00 2.51 6423.01 15.6243 2076.79 15.2019 2050.66 15.5917 68.44 16.0000 Oppenheimer receives remuneration from StoneX Financial, Inc./INTL based on a rate per shares executed of 16 cents per 100 shares. Arrangements with INTL 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. Hudson River Trading (Hrt) 5.22 4.83 5.71 6.03 6.03 2113.73 13.2822 703.51 15.2021 841.04 14.4655 68.20 14.4428 Oppenheimer receives remuneration from Hudson Trading/HRTF based on a rate per shares executed of 16 cents per 100 shares. Arrangements with HRTF 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 9.45 8.38 54.58 27.60 CITADEL SECURITIES LLC 35.85 52.27 41.31 45.58 9.32 4172.98 29.1226 18132.62 35.0565 17280.94 38.1234 10711.01 48.8998 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. Wolverine Execution Services, LLC 20.71 23.03 27.93 26.14 7.00 3247.90 28.1594 17812.95 37.3445 20161.35 38.4817 68375.15 42.1530 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. Global Execution Brokers, LP 20.47 23.31 26.70 25.03 8.60 2782.97 27.6253 21708.68 33.1253 32525.67 30.2376 58026.60 44.2745 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. NYSE ARCA OPTIONS 2.79 0.00 0.29 0.90 8.26 0.00 0.0000 -2912.35 -41.2163 14813.78 25.5802 3610.26 9.1888 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe EDGX Exchange, Inc. 2.62 0.00 0.14 0.00 9.43 0.00 0.0000 -571.33 -9.2627 -1.72 -3.3651 62610.91 36.2646 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Miami International Securities Exchange, LLC 2.53 0.00 0.09 0.00 9.13 0.00 0.0000 -294.41 -10.8477 -6.76 -5.3680 -9.92 -0.1310 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Nasdaq ISE, LLC 2.45 0.00 0.20 0.01 8.81 0.00 0.0000 -3142.97 -42.0634 -108.99 -16.9241 4296.76 17.7084 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe Exchange, Inc. 1.84 0.00 0.14 0.09 6.45 0.00 0.0000 -1212.79 -21.2883 -2861.39 -43.6320 -7134.14 -34.6755 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe C2 Exchange, Inc. 1.75 0.00 0.17 0.00 6.27 0.00 0.0000 -3389.99 -46.6620 10.35 43.1349 27641.88 31.4159 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. 2024 09 100.00 84.10 2.99 8.52 4.39 CITADEL SECURITIES LLC 41.18 40.59 41.53 41.69 51.36 4974.62 16.0000 1023.17 16.0000 719.24 16.0000 82.51 8.7366 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 38.52 38.43 36.49 38.90 40.90 3853.22 14.0000 673.22 14.0000 617.56 13.9983 27.39 4.6152 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. StoneX Financial, Inc. 14.13 14.92 13.66 11.39 4.63 1749.97 16.0000 175.52 16.0000 170.77 16.0000 18.25 16.0000 Oppenheimer receives remuneration from StoneX Financial, Inc./INTL based on a rate per shares executed of 16 cents per 100 shares. Arrangements with INTL 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 66.39 8.76 22.82 2.02 CITADEL SECURITIES LLC 39.31 39.27 37.64 40.20 37.91 16417.32 15.5564 10802.34 14.6437 6136.76 14.5050 247.14 7.4253 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 37.46 37.60 37.99 37.06 34.89 15341.74 13.5821 7229.32 13.2227 5466.18 13.5807 240.36 7.2399 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. StoneX Financial, Inc. 14.50 15.39 14.71 12.65 5.17 5132.58 15.6968 1440.34 15.5814 1610.17 15.7967 123.67 16.0000 Oppenheimer receives remuneration from StoneX Financial, Inc./INTL based on a rate per shares executed of 16 cents per 100 shares. Arrangements with INTL 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. Hudson River Trading (Hrt) 5.25 4.78 5.44 6.68 3.41 1676.33 13.9424 469.87 15.3078 617.94 14.0681 40.87 12.2192 Oppenheimer receives remuneration from Hudson Trading/HRTF based on a rate per shares executed of 16 cents per 100 shares. Arrangements with HRTF 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. 99.99 7.43 9.02 49.77 33.78 CITADEL SECURITIES LLC 31.90 48.61 39.73 44.56 7.48 3838.86 28.8376 14624.64 43.4223 12369.69 37.3323 3408.14 45.9132 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 20.27 25.17 26.54 26.80 7.90 2656.64 27.8678 15434.37 33.0479 28943.51 33.6635 9300.13 51.5157 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 17.78 24.74 24.19 23.72 5.79 3092.15 27.5912 14025.05 40.2799 14622.20 37.3301 37362.20 48.1224 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. NYSE ARCA OPTIONS 4.12 0.00 0.78 1.93 9.16 0.00 0.0000 -5567.76 -38.2427 15183.19 27.3059 -3679.62 -15.3452 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Miami International Securities Exchange, LLC 3.38 0.00 0.21 0.00 9.94 0.00 0.0000 -395.06 -9.7641 -8.25 -5.0000 -85.40 -1.5524 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe EDGX Exchange, Inc. 3.10 0.00 0.42 0.00 9.06 0.00 0.0000 -1385.33 -18.8506 -8.16 -22.6667 27880.59 22.0031 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Nasdaq ISE, LLC 2.78 0.00 0.36 0.03 8.09 0.00 0.0000 -4570.19 -45.7660 -141.62 -23.5249 1160.46 5.5864 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe C2 Exchange, Inc. 2.62 0.00 0.39 0.01 7.65 0.00 0.0000 -7692.82 -52.2184 -241.08 -40.5168 16592.76 25.6524 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. Cboe Exchange, Inc. 2.22 0.00 0.33 0.08 6.37 0.00 0.0000 -3104.16 -27.2510 -813.76 -38.4575 -3220.01 -21.9631 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold. BOX Exchange LLC 2.21 0.00 0.54 0.00 6.40 0.00 0.0000 -1351.82 -12.0838 -63.50 -27.7271 4860.42 20.8307 Oppenheimer may route orders to Instinet LLC and/or DASH Financial, which will then route to exchanges of their choosing for possible execution. Instinet LLC (INCA): Instinet charges Oppenheimer $0.015-0.045 per executed contract based on a volume-tiered pricing schedule (0-600,000 is $0.045; 600,001-900,000 is $0.025; >900,001 is $0.015). Instinet will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. DASH Financial (DFIN): DASH charges Oppenheimer $0.03-0.05 per executed contract based on a volume-tiered pricing schedule (0-250,000 is $0.05; 250,001-500,000 is $0.04; >500,001 is $0.03). DASH will pass through to Oppenheimer, the Exchange base tier, net exchange fees or rebates from Oppenheimer’s orders. Additionally, Oppenheimer may route orders to DASH’s High Touch desk for manual execution, DASH charges Oppenheimer $0.15 per initiated executed contract; there is no volume-tiered base incentives. There are no disincentives for failing to meet an agreed upon minimum order flow threshold.