SEC Form 4 · accession 0001594628-16-000005
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Lowenthal
Director
Period of report
Feb 10, 2016
Accepted (ET)
Feb 12, 2016 · 1:03 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 | 3,313 | — | A | 30,847 | 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 | 7,500 | D | — | — | Class A non-voting common stock | 3,313 | 30,924 | D |
Explanation of responses
- F1The transaction describes the vesting of 7,500 shares of Restricted Class A non-voting common stock which were awarded on January 27, 2011 of which 3,313 Class A non-voting common shares were converted and 4,187 shares were forfeited.