Filing Details
- Accession Number:
- 0001594628-18-000001
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2018-02-01 15:29:25
- Reporting Period:
- 2017-12-31
- Accepted Time:
- 2018-02-01 15:29:25
- 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 |
|---|---|---|---|---|---|---|---|
| 1594628 | S Robert Lowenthal | 85 Broad Street New York NY 10004 | Yes | No | No | 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 | 2017-02-24 | 23 | $16.75 | 3,542 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2017-05-26 | 24 | $15.75 | 3,566 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2017-08-25 | 24 | $16.45 | 3,590 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2017-11-24 | 15 | $27.40 | 3,605 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401K Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2017-02-22 | 1,546 | $0.00 | 36,148 | No | 5 | J | Direct |
| 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 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Non-Voting Common Stock | Restricted Class A non-voting common stock | Disposition | 2017-02-22 | 3,500 | $0.00 | 1,546 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 43,924 | No | 5 | J | Direct |
Footnotes
- The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
- The 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.
Billionaire Hedge Funds
