SEC Form 4 · accession 0001041339-19-000002
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 31, 2019
Accepted (ET)
Feb 1, 2019 · 3:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000791963
Table I — non-derivative securities
No Table I lines on this filing.
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 | — | Jan 31, 2019 | J | 75,472 | A | — | — | Class A non-voting common stock | 75,472 | 198,001 | D |
Explanation of responses
- F1The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on the earlier of 1/30/2024 or death.