Item 2. Unregistered Sales of Equity Securities
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds
(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.
(b) Not applicable.
(c) Not applicable.
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Table of Contents
Item 6. EXHIBITS
31.1
Certification of Albert G. Lowenthal
31.2
Certification of Salvatore F. Agosta
32
Certification of Albert G. Lowenthal and Sal va tore F. Agosta
101
Interactive data files pursuant to Rule 405 of Regulation S-T (unaudited): (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.
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SIGNATURES
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.
BY: /s/ Albert G. Lowenthal
Albert G. Lowenthal, Chairman and Chief Executive Officer
(Principal Executive Officer)
BY: /s/ Salvatore F. Agosta
Salvatore F. Agosta, Interim Chief Financial Officer
(Principal Financial and Accounting Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.