Unregistered Sales of Equity Securities and Use of Proceeds
−Removed: (a) During the third quarter of 2021, the Company issued 31,582 shares of Class A Stock pursuant to the Company's share-based compensation plans to employees of the Company for no cash consideration.
+Added: (a) During the first quarter of 2022, the Company issued 86,451 shares of Class A Stock pursuant to the Company's share-based compensation plans to employees of the Company for no cash consideration.
Such issuances were exempt from registration pursuant to Section 4(a)(2) of the Securities Act.
2 unchanged sentences
Certification of Albert G.
−Removed: Certification of Jeffrey J.
+Added: Certification of Salvatore F.
Certification of Albert G.
−Removed: Lowenthal and Jeffrey J.
+Added: Lowenthal and Sal va tore F.
Interactive data files pursuant to Rule 405 of Regulation S-T (unaudited):
−Removed: (i) the Condensed Consolidated Balance Sheets as of September 30, 2021 and December 31, 2020, (ii) the Condensed Consolidated Income Statements for the three and nine months ended September 30, 2021 and 2020, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and nine months ended September 30, 2021 and 2020, (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity for the three and nine months ended September 30, 2021 and 2020, (v) the Condensed Consolidated Statements of Cash Flows for the nine months ended September 30, 2021 and 2020, and (vi) the notes to the Condensed Consolidated Financial Statements.*
+Added: (i) the Condensed Consolidated Balance Sheets as of March 3 1 , 202 2 and December 31, 202 1 , (ii) the Condensed Consolidated Income Statements for the three months ended M a rch 3 1 , 202 2 and 202 1 , (iii) the Condensed Consolidated Statements of Comprehensive Income for the three months ended March 3 1 , 2021 and 202 2 , (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity for the three months ended Ma rch 3 1 , 2021 and 202 2 , (v) the Condensed Consolidated Statements of Cash Flows for the t hree months ended March 3 1 , 2021 and 202 2 , and (vi) the notes to the Condensed Consolidated Financial Statements.*
* This information is furnished and not filed for purposes of Sections 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934.
−Removed: 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, thereunto duly authorized, in the City of New York, State of New York, on the 29th day of October 2021.
+Added: 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, thereunto duly authorized, in the City of New York, State of New York, on the 29th day of April 2022.
OPPENHEIMER HOLDINGS INC.
2 unchanged sentences
(Principal Executive Officer)
−Removed: /s/ Jeffrey J.
−Removed: Alfano, Chief Financial Officer
+Added: /s/ Salvatore F.
+Added: Agosta, Interim Chief Financial Officer
(Principal Financial and Accounting Officer)
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.