SEC Form 5 · accession 0001218024-17-000001
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine K Roberts
Director
Period of report
Dec 31, 2016
Accepted (ET)
Jan 31, 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 | Jul 27, 2016 | J | 1,000 | — | A | 207,465 | I | E.K.Roberts Holdco Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Claa A non-voting common stockF1 | — | Jul 27, 2016 | J | 1,000 | D | — | — | Class A non-voting common stock | 1,000 | 14,357 | D |
Explanation of responses
- F1The transaction describes the partial vesting of restricted stock awards granted on 1/28/2016.
- F2E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person.