SEC Form 4 · accession 0001041339-17-000002
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 28, 2017
Accepted (ET)
Jan 31, 2017 · 2:09 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 28, 2017 | J | 68,384 | — | A | 3,115,768 | 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 stockF2,F1 | — | Jan 28, 2017 | J | 124,000 | D | — | — | Class A non-voting common stock | 68,384 | 164,985 | D |
Explanation of responses
- F1The transaction describes the vesting of 124,000 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 68,384 Class A non-voting common shares were converted and 55,616 shares were forfeited.
- F2Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.