SEC Form 4 · accession 0001395774-19-000001
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
Jan 28, 2019
Accepted (ET)
Feb 1, 2019 · 2:28 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 | Jan 28, 2019 | J | 1,333 | — | A | 43,404 | 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 | — | Jan 28, 2019 | J | 2,200 | D | — | — | Class A non-voting common stock | 1,333 | 24,881 | D |
| Restricted Class A non-voting common stockF2 | — | Jan 31, 2019 | J | 4,000 | A | — | — | Class A non-voting common stock | 4,000 | 28,881 | D |
Explanation of responses
- F1The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,333 Class A non-voting common shares were converted and 867 shares were forfeited.
- F2The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time.