Filing Details
- Accession Number:
- 0001041339-14-000006
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2014-03-14 09:41:33
- Reporting Period:
- 2013-12-31
- Filing Date:
- 2014-03-14
- Accepted Time:
- 2014-03-14 09:41:33
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
791963 | Oppenheimer Holdings Inc | OPY | Security Brokers, Dealers & Flotation Companies (6211) | 980080034 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1041339 | G Albert Lowenthal | 188 Mamaroneck Rd Scarsdale NY 10583 | Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Non-Voting Common Stock | Acquisiton | 2013-02-22 | 74 | $18.24 | 12,640 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
Class A Non-Voting Common Stock | Acquisiton | 2013-05-24 | 72 | $19.57 | 12,711 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
Class A Non-Voting Common Stock | Acquisiton | 2013-08-23 | 77 | $18.35 | 12,788 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
Class A Non-Voting Common Stock | Acquisiton | 2013-11-27 | 64 | $23.00 | 12,852 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
Footnotes
- The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.