SEC Form 4 · accession 0001041339-16-000007
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Albert G Lowenthal
Officer — CEO · Director · 10% Owner
Period of report
Jan 22, 2016
Accepted (ET)
Jan 25, 2016 · 5:09 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 stockF1,F2 | Jan 22, 2016 | J | 105,470 | — | A | 3,022,694 | I | Phase II Financial LP |
| Class B voting common stockF3 | holding | — | — | — | 96,073 | I | Phase II Financial Inc. | |
| Class A non-voting common stock | holding | — | — | — | 13,085 | I | Held in the Oppenheimer & Co. Inc. 401K Plan | |
| Class A non-voting common stock | holding | — | — | — | 1,366 | D |
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 stockF1 | — | Jan 22, 2016 | A | 105,470 | D | — | — | Class A non-voting common stock | 105,470 | 261,985 | D |
Explanation of responses
- F1The transaction describes the vesting of 105,470 shares of Restricted Class A non-voting common stock which were awarded on January 23, 2013.
- F2Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
- F3Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.