Item 2. Unregistered Sales of Equity Securities
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds
(a) During the second quarter of 2022, the Company did not issue any Class A Stock pursuant to the Company's share-based compensation plans to employees of the Company.
(b) Not applicable.
(c) Issuer Purchases of Equity Securities
(a) (b) (c) (d)
Period Total number of shares purchased Average price paid per share Total number of shares purchased as part of publicly announced plans or programs Maximum number of shares that may yet be purchased under the plans or programs (4)
April 1 - 30, 2022 (1) (2)
24,518 $43.83 24,518 339,990
May 1 - 31, 2022 (3)
346,051 $32.84 346,051 543,939
June 1 - 30, 2022 514,661 $34.54 514,661 29,278
Q2 2022 Total 885,230 $34.13 885,230 29,278
(1) On May 15, 2020, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 530,000 shares of the Company's Class A Stock.
(2) On February 28, 2022, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 518,000 shares of the Company's Class A Stock.
(3) On May 24, 2022, the Company announced that its Board of Directors approved a share repurchase program that authorizes the Company to purchase up to 550,000 shares of the Company's Class A Stock.
(4) None of the foregoing authorizations are subject to expiration.
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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 Salvatore F. Agosta
101
Interactive data files pursuant to Rule 405 of Regulation S-T (unaudited): (i) the Condensed Consolidated Balance Sheets as of June 30, 2022 and December 31, 2021, (ii) the Condensed Consolidated Income Statements for the three and six months ended June 30, 2022 and 2021, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and six months ended June 30, 2021 and 2022, (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity for the three and six months ended June 30, 2021 and 2022, (v) the Condensed Consolidated Statements of Cash Flows for the six months ended June 30, 2021 and 2022, 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 July 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.