SEC Form 5 · accession 0001594628-17-000002
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Lowenthal
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 1:46 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 | Feb 26, 2016 | P | 26 | $14.40 | A | 3,449 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stock | May 27, 2016 | P | 24 | $15.74 | A | 3,473 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stock | Aug 26, 2016 | P | 24 | $16.20 | A | 3,497 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stock | Nov 25, 2016 | P | 22 | $17.15 | A | 3,519 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.