SEC Form 4 · accession 0001520798-19-000002
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 26, 2019
Accepted (ET)
Feb 27, 2019 · 1:55 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 26, 2019 | J | 1,235 | — | A | 62,335 | 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 26, 2019 | J | 2,000 | D | — | — | Class A non-voting common stock | 1,235 | 37,881 | D |
Explanation of responses
- F1The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,235 Class A non-voting common shares were converted and 765 shares were forfeited.