SEC Form 4/A · accession 0001249033-15-000001
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
A Winn Oughtred
Director
Period of report
Jul 1, 2014
Accepted (ET)
Jan 28, 2015 · 6:39 pm 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 stockF1 | Jul 1, 2014 | J | 1,212 | $0.00 | A | 11,775 | 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 | — | Jul 1, 2014 | J | 1,212 | D | — | — | Class A non-voting common stock | 1,212 | 1,875 | D |
Explanation of responses
- F1The transaction describes the vesting of restricted shares of Class A non-voting common stock into shares of Class A non-voting common stock.