SEC Form 5 · accession 0001041339-15-000003
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Albert G Lowenthal
Officer — CEO · Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 3:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000791963
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A non-voting common stock | Feb 28, 2014 | P | 52 | $27.31 | A | 12,904 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | May 27, 2014 | P | 59 | $23.95 | A | 12,963 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Aug 29, 2014 | P | 59 | $24.16 | A | 13,023 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Dec 2, 2014 | P | 62 | $22.78 | A | 13,085 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.