SEC Form 4 · accession 0001249028-16-000004
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Crystal
Director
Period of report
May 9, 2016
Accepted (ET)
May 11, 2016 · 5:47 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 9, 2016 | J | 663 | — | A | 18,150 | 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 | — | May 9, 2016 | J | 663 | A | — | — | Class A non-voting common stock | 663 | 0 | D |
Explanation of responses
- F1Represents the vesting of 663 shares of restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2006 Equity Incentive Plan on 1/2/13 vesting on 7/1/16 into shares of Class A non-voting common stock upon the expiration of his term as a director of the reporting person on May 9, 2016.