−Removed: Unregistered Sales of Equity Securities and Use of Proceeds
−Removed: (a) During the second quarter of 2023, the Company issued 4,987 shares of Class A Stock pursuant to the Company's share-based compensation plans to employees of the Company for no cash consideration.
+Added: Unregistered Sales of Equity Securities, Use of Proceeds and Issuer Purchases of Equity Securities
+Added: (a) During the third quarter of 2023, the Company issued 10,745 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
1 unchanged sentence
(b) Not applicable.
−Removed: (c) Issuer Purchases of Equity Securities during the second quarter of 2023:
+Added: (c) Issuer Purchases of Equity Securities during the third quarter of 2023:
(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
−Removed: April 1 - 30, 2023 20,000 $38.65 20,000 571,979
−Removed: May 1 - 31, 2023 76,135 $37.11 76,135 495,844
−Removed: June 1 - 30, 2023 — $— — 495,844
+Added: July 1 - 31, 2023 (1)
+Added: 437,183 $40.00 437,183 495,844 (3)
+Added: August 1 - 31, 2023 (2)
+Added: 81,041 $38.33 81,041 414,803
+Added: September 1 - 30, 2023 (2)
+Added: 87,863 $38.27 87,863 326,940
Q3 2023 Total 606,087 $38.30 606,087 326,940
+Added: (1) These shares were repurchased pursuant to a "Dutch Auction” tender offer commenced on May 31 and completed on July 6, 2023.
+Added: (2) These shares were repurchased pursuant to the share repurchase programs.
None of the foregoing authorizations is subject to expiration.
−Removed: Certification of Albert G.
−Removed: Certification of Brad M.
−Removed: Certification of Albert G.
−Removed: Lowenthal and Brad M.
−Removed: Third Amendment to Agreement of Lease dated June 13, 2023 between 666 Third Avenue LLC (Landlord) and Viner Finance Inc., Tenant for premises at 45 Rockefeller Plaza, New York, NY.
−Removed: Interactive data files pursuant to Rule 405 of Regulation S-T (unaudited):
−Removed: (i) the Condensed Consolidated Balance Sheets as of June 30, 2023 and December 31, 2022, (ii) the Condensed Consolidated Income Statements for the three and six months ended June 30, 2023 and 2022, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and six months ended June 30, 2023 and 2022, (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity and Redeemable Noncontrolling Interests for the three and six months ended June 30, 2023 and 2022, (v) the Condensed Consolidated Statements of Cash Flows for the six months ended June 30, 2023 and 2022, and (vi) the notes to the Condensed Consolidated Financial Statements.*
−Removed: * 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 28th day of July, 2023.
−Removed: OPPENHEIMER HOLDINGS INC.
−Removed: /s/ Albert G.
−Removed: Lowenthal, Chairman and Chief Executive Officer
−Removed: (Principal Executive Officer)
−Removed: Watkins, Chief Financial Officer
−Removed: (Principal Financial and Accounting Officer)
+Added: (3) These shares were available during the July period under the share repurchase programs.
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.