SEC Form 5 · accession 0001594628-18-000001
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, 2017
Accepted (ET)
Feb 1, 2018 · 3:29 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 24, 2017 | P | 23 | $16.75 | A | 3,542 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stock | May 26, 2017 | P | 24 | $15.75 | A | 3,566 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stock | Aug 25, 2017 | P | 24 | $16.45 | A | 3,590 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stock | Nov 24, 2017 | P | 15 | $27.40 | A | 3,605 | I | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A non-voting common stockF2 | Feb 22, 2017 | J | 1,546 | — | A | 36,148 | 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 stockF2 | — | Feb 22, 2017 | J | 3,500 | D | — | — | Class A non-voting common stock | 1,546 | 43,924 | D |
Explanation of responses
- F1The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
- F2The transaction describes the vesting of 3,500 shares of Restricted Class A non-voting common stock which were awarded on February 23, 2012 of which 1,546 Class A non-voting common shares were converted and 1,954 shares were forfeited.