SEC Form 4 · accession 0001218024-16-000006
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine K Roberts
Director
Period of report
Jan 28, 2016
Accepted (ET)
Jan 29, 2016 · 2:58 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 | holding | — | — | — | 196,575 | D | ||
| Class B voting commmon stock | holding | — | — | — | 120 | D |
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 28, 2016 | J | 4,000 | A | — | — | Class A non-voting common stock | 4,000 | 24,747 | D |
Explanation of responses
- F1The transaction is a stock award under the Oppenheimer Holdings Inc. 2014 Equity Incentive Plan granted on January 28, 2016 for 4,000 shares of Class A non-voting common stock vesting 25% on each of 7/27/16; 7/27/17; 7/27/18; and 7/27/19.