SEC Form 5 · accession 0001041339-17-000004
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, 2016
Accepted (ET)
Feb 14, 2017 · 12:35 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 26, 2016 | P | 102 | $14.40 | A | 13,463 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | May 27, 2016 | P | 94 | $15.74 | A | 13,557 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Aug 26, 2016 | P | 92 | $16.20 | A | 13,649 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Nov 25, 2016 | P | 86 | $17.15 | A | 13,736 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class B voting common stockF2 | Feb 4, 2016 | P | 4 | $14.79 | A | 96,077 | I | Phase II Financial Inc. |
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.
- F2Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.