SEC Form 4 · accession 0001218024-17-000004
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine K Roberts
Director
Period of report
Feb 24, 2017
Accepted (ET)
Feb 27, 2017 · 1:55 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 | Feb 24, 2017 | J | 2,032 | — | A | 11,279 | D | |
| Class A non-voting common stockF2 | holding | — | — | — | 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 Class A non-voting common stockF1 | — | Feb 24, 2017 | J | 2,032 | D | — | — | Class A non-voting common stock | 2,032 | 10,715 | D |
Explanation of responses
- F1The transaction describes the partial vesting of restricted stock awards granted on 2/25/2009.
- F2E. K. Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person.