SEC Form 4/A · accession 0001395774-17-000005
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
Dennis P McNAMARA
Officer — Secretary
Period of report
Dec 28, 2017
Accepted (ET)
Dec 29, 2017 · 3:06 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 | Dec 28, 2017 | J | 5,042 | — | A | 42,071 | 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 | — | Dec 28, 2017 | J | 8,000 | D | — | — | Class A non-voting common stock | 5,042 | 23,581 | D |
Explanation of responses
- F1The transaction describes the vesting of 8,000 shares of Restricted Class A non-voting common stock which were awarded on February 25, 2013 and vested on accelerated basis from February 24, 2018 to December 28th, 2017 of which 5,042 Class A non-voting common shares were converted and 2,958 shares were forfeited.