SEC Form 4/A · accession 0001041339-16-000009
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 10, 2016
Accepted (ET)
Feb 12, 2016 · 4:11 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 | Feb 10, 2016 | J | 24,690 | — | A | 3,047,384 | I | Phase II Financial LP |
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 | — | Feb 10, 2016 | J | 40,000 | D | — | — | Class A non-voting common stock | 24,690 | 221,985 | D |
Explanation of responses
- F1The transaction describes the vesting of 40,000 shares of Restricted Class A non-voting common stock which were awarded on January 27, 2011 of which 24,690 Class A non-voting common shares were converted and 15,310 shares were forfeited.
- F2Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.