SEC Form 4 · accession 0001594628-18-000002
OPPENHEIMER HOLDINGS INC · OPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Lowenthal
Director
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000791963
Table I — non-derivative securities
No Table I lines on this filing.
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 30, 2018 | J | 5,000 | A | — | — | Class A non-voting common stock | 5,000 | 48,924 | D |
Explanation of responses
- F1The transaction describes the award on 1/30/2018 of Restricted Class A non-voting common stock vesting on 1/29/2023, subject to the awardee being continuously employed by the company until such time.