SEC Form 4 · accession 0001218024-17-000006
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine K Roberts
Director
Period of report
Jul 1, 2017
Accepted (ET)
Jul 5, 2017 · 2:40 pm EDT
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 | Jul 1, 2017 | J | 1,000 | — | A | 8,142 | D | |
| Class A non-voting common stockF2 | holding | — | — | — | 207,465 | I | E.K.Roberts Holdco Inc. | |
| Class B voting common 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 | — | Jul 1, 2017 | J | 1,000 | D | — | — | Class A non-voting common stock | 1,000 | 9,715 | D |
Explanation of responses
- F1The transaction describes the partial vesting of restricted stock awards granted on 1/2/2014 and 1/28/2015.
- F2E.K.Roberts Holdco Inc. is an Ontarioo corporation that is 100% owned by the Reporting Person.