Filing Details
- Accession Number:
- 0001041339-17-000004
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2017-02-14 12:35:12
- Reporting Period:
- 2016-12-31
- Filing Date:
- 2017-02-14
- Accepted Time:
- 2017-02-14 12:35:12
- 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 | 2016-02-26 | 102 | $14.40 | 13,463 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2016-05-27 | 94 | $15.74 | 13,557 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2016-08-26 | 92 | $16.20 | 13,649 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2016-11-25 | 86 | $17.15 | 13,736 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class B Voting Common Stock | Acquisiton | 2016-02-04 | 4 | $14.79 | 96,077 | No | 5 | P | Indirect | Phase II Financial Inc. |
| 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 |
| No | 5 | P | Indirect | Phase II Financial Inc. |
Footnotes
- The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
- Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.
Billionaire Hedge Funds
