SEC Form 4 · accession 0001041339-17-000005
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 28, 2017
Accepted (ET)
Dec 29, 2017 · 2:24 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 | Dec 28, 2017 | J | 15,347 | — | A | 3,156,540 | I | Phase II Financial LP |
| Class A non-voting common stockF3,F2 | Dec 28, 2017 | J | 6,781 | — | A | 3,163,321 | 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 | — | Dec 28, 2017 | J | 31,690 | D | — | — | Class A non-voting common stock | 15,347 | 80,795 | D |
| Restricted Class A non-voting common stockF3 | — | Dec 28, 2017 | J | 13,795 | D | — | — | Class A non-voting common stock | 6,781 | 67,000 | D |
Explanation of responses
- F1The transaction describes the vesting of 31,690 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2015 and vested on accelerated basis from January 28, 2018 to December 28th, 2017 of which 15,347 Class A non-voting common shares were converted and 16,343 shares were forfeited.
- F2Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
- F3The transaction describes the vesting of 13,795 shares of Restricted Class A non-voting common stock which were awarded on February 26, 2015 and vested on accelerated basis from February 25, 2018 to December 28th, 2017 of which 6,781 Class A non-voting common shares were converted and 7,014 shares were forfeited.