SEC Form 4/A · accession 0001594628-15-000002
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
Robert S Lowenthal
Director
Period of report
Jan 29, 2015
Accepted (ET)
Feb 13, 2015 · 4:59 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 | — | — | — | 174,000 | I | Beneficiary R.S. Lowenthal Trust | |
| Class A non-voting common stock | holding | — | — | — | 150,000 | I | Beneficiary A.R. Lowenthal Trust | |
| Class A non-voting common stock | holding | — | — | — | 303,357 | I | Beneficiary Phase II Financial LP | |
| Class A non-voting common stock | holding | — | — | — | 3,150 | I | Participant Oppenheimer 401 K Plan | |
| Class B voting common stock | holding | — | — | — | 140 | D | ||
| Class A non-voting common stock | holding | — | — | — | 27,534 | 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 29, 2015 | J | 9,524 | A | — | — | Class A non-voting common stock | 9,524 | 33,424 | D |
Explanation of responses
- F1The transaction describes the award on 1/29/2015 of Restricted Class A non-voting common stock vesting on 1/28/2020, subject to the awardee being continuously employed by the company until such time.