SEC Form 4 · accession 0001395774-17-000003
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis P McNAMARA
Officer — Secretary
Period of report
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 2:35 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 | Feb 22, 2017 | J | 3,151 | — | A | 37,029 | 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 | — | Feb 22, 2017 | J | 5,000 | D | — | — | Class A non-voting common stock | 3,151 | 31,581 | D |
Explanation of responses
- F1The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on February 23, 2012 of which 3,151 Class A non-voting common shares were converted and 1,849 shares were forfeited.