SEC Form 4/A · accession 0001041339-15-000006
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Albert G Lowenthal
Officer — CEO · Director · 10% Owner
Period of report
Feb 26, 2015
Accepted (ET)
May 7, 2015 · 12:28 pm EDT
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 stockF1 | holding | — | — | — | 2,917,224 | I | Phase II Financial LP | |
| Class A non-voting common stock | holding | — | — | — | 13,085 | I | Held in the Oppenheimer & Co. Inc. 401k Plan | |
| Class B voting common stockF2 | holding | — | — | — | 96,073 | I | Phase II Financial Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Class A non-voting common stockF3 | — | Feb 26, 2015 | J | 13,795 | A | — | — | Class A non-voting common stock | 13,795 | 367,455 | D |
Explanation of responses
- F1Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
- F2Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.
- F3The transaction describes the award on 2/26/2015 of Restricted Class A non-voting common stock vesting on the earlier of 2/25/2018 or death.