SEC Form 5 · accession 0001041339-16-000010
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
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 4:06 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 27, 2015 | P | 68 | $21.10 | A | 13,153 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | May 29, 2015 | P | 56 | $25.94 | A | 13,209 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Aug 28, 2015 | P | 71 | $19.87 | A | 13,280 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Nov 27, 2015 | P | 82 | $18.16 | A | 13,362 | 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.