SEC Form 5 · accession 0001041339-19-000001
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, 2018
Accepted (ET)
Feb 1, 2019 · 3:41 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, 2018 | P | 58 | $26.95 | A | 14,129 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | May 25, 2018 | P | 53 | $29.05 | A | 14,183 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Aug 24, 2018 | P | 46 | $33.25 | A | 14,228 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Nov 23, 2018 | P | 56 | $28.24 | A | 14,284 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class B voting common stockF2 | Dec 11, 2018 | P | 32 | $28.51 | A | 96,121 | 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.