OPPENHEIMER HOLDINGS INC 10-Q

Item 5. Other Information None. 57 Table of Contents Item 6. EXHIBITS 31.1 Certification of Albert G. Lowenthal 31.2 Certification of Brad M. Watkins 32 Certification of Albert G. Lowenthal and Brad M. Watkins 10.12 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. 101 Interactive data files pursuant to Rule 405 of Regulation S-T (unaudited): (i) the Condensed Consolidated Balance Sheets as of September 30, 2023 and December 31, 2022, (ii) the Condensed Consolidated Income Statements for the three and nine months ended September 30, 2023 and 2022, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and nine months ended September 30, 2023 and 2022, (iv) the Condensed Consolidated Statements of Changes in Stockholders' Equity and Redeemable Noncontrolling Interests for the three and nine months ended September 30, 2023 and 2022, (v) the Condensed Consolidated Statements of Cash Flows for the nine months ended September 30, 2023 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. 58 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 27th day of October, 2023. OPPENHEIMER HOLDINGS INC. BY: /s/ Albert G. Lowenthal Albert G. Lowenthal, Chairman and Chief Executive Officer (Principal Executive Officer) BY: /s/ Brad M. Watkins Brad M. Watkins, Chief Financial Officer (Principal Financial and Accounting Officer) 59