SEC Form 5 · accession 0001041339-18-000001
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, 2017
Accepted (ET)
Feb 1, 2018 · 3:45 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 24, 2017 | P | 89 | $16.75 | A | 13,825 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | May 26, 2017 | P | 96 | $15.75 | A | 13,921 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Aug 25, 2017 | P | 94 | $16.45 | A | 14,014 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Nov 24, 2017 | P | 57 | $27.40 | A | 14,071 | 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.