SEC Form 4 · accession 0001218024-18-000002
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine Kells Roberts
Director
Period of report
Mar 1, 2018
Accepted (ET)
Mar 2, 2018 · 10:07 am 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 | — | — | — | 11,917 | 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 | — | Mar 1, 2018 | J | 2,500 | A | — | — | Class A non-voting common stock | 2,500 | 7,625 | D |
Explanation of responses
- F1The transaction describes the award of Restricted Class A non voting common stock granted on 3/1/2018 which vests 25% on each of 9/1/2018, 9/1/2019, 9/1/2020, and 9/1/2021.
- F2E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person.