SEC Form 4 · accession 0001520798-17-000001
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
Jan 26, 2017
Accepted (ET)
Jan 27, 2017 · 3:45 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 stock | holding | — | — | — | 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 | — | Jan 26, 2017 | J | 8,500 | A | — | — | Class A non-voting common stock | 8,500 | 43,081 | D |
Explanation of responses
- F1The transaction describes the award on 1/26/2017 of Restricted Class A non-voting common stock vesting on 1/25/2020, subject to the awardee being continuously employed by the company until such time.