SEC Form 5 · accession 0001594628-19-000001
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, 2018
Accepted (ET)
Feb 1, 2019 · 2:42 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, 2018 | P | 15 | $26.95 | A | 3,620 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | May 25, 2018 | P | 14 | $29.05 | A | 3,633 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Aug 24, 2018 | P | 12 | $33.25 | A | 3,645 | I | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A non-voting common stock | Nov 23, 2018 | P | 14 | $28.24 | A | 3,659 | 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.