SEC Form 4 · accession 0001249030-16-000004
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth W McArthur
Director
Period of report
May 9, 2016
Accepted (ET)
May 11, 2016 · 5:31 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 stockF2 | May 9, 2016 | J | 6,500 | — | D | 45,688 | D | |
| Class A non-voting common stock | holding | — | — | — | 25,700 | I | Shurway Capital Corp. |
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 | 662 | D | — | — | Class A non-voting common stock | 662 | 0 | D |
Explanation of responses
- F1Represents a forfeiture of 662 shares of restricted stock granted under the Oppenheimer Holdings Inc. 2006 Equity Incentive Plan on 1/2/13 vesting on 7/1/16 upon the expiration of his term as a director of the reporting person on May 9, 2016.
- F2Represents a forfeiture of an aggregate of 6,500 shares of restricted stock granted under the Oppenheimer Holdings Inc. 2006 Equity Incentive Plan and the Oppenheimer Holdings Inc. 2014 Incentive Plan upon the expiration of his term as a director of the reporting person on May 9, 2016.