SEC Form 4 · accession 0001218024-18-000003
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine Kells Roberts
Director
Period of report
May 14, 2018
Accepted (ET)
May 15, 2018 · 1:27 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 | May 14, 2018 | J | 7,625 | — | A | 19,542 | 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 stockF1 | — | May 14, 2018 | J | 7,625 | D | — | — | Class A non-voting common stock | 7,625 | 0 | D |
Explanation of responses
- F1The transaction describes the vesting of 7,625 shares of Restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan into shares of Class A non-voting common stock upon the expiration of the term of the Reporting Person as a director of the Issuer on May 14, 2018.
- F2E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person.
Remarks
This filing represents the Reporting Person's final filing pursuant to Section 16(a) of the Securities Exchange Act of 1934. The Reporting Person is no longer an Insider of the Issuer.