SEC Form 4 · accession 0001520798-16-000004
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey J Alfano
Officer — CFO
Period of report
Feb 10, 2016
Accepted (ET)
Feb 12, 2016 · 12:41 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 10, 2016 | J | 6,303 | $0.00 | A | 51,668 | D | |
| Class B voting common stock | holding | — | — | — | 60 | 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 10, 2016 | J | 10,000 | D | — | — | Class A non-voting common stock | 6,303 | 24,581 | D |
Explanation of responses
- F1The transaction describes the vesting of 10,000 shares of Restricted Class A non-voting common stock which were awarded on January 27, 2011 of which 6,303 Class A non-voting common shares were converted and 3,697 shares were forfeited.