Filing Details
- Accession Number:
- 0001041339-21-000002
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2021-02-09 14:16:13
- Reporting Period:
- 2020-12-31
- Accepted Time:
- 2021-02-09 14:16:13
- 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 | 2020-02-28 | 73 | $24.03 | 14,599 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-05-29 | 83 | $21.10 | 14,682 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-08-27 | 70 | $25.22 | 14,752 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-12-04 | 60 | $29.46 | 14,812 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-12-30 | 471 | $31.43 | 15,284 | 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 |
| No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Non-Voting Common Stock | 88,554 | Direct | |
| Class A Non-Voting Common Stock | 3,115,768 | Indirect | Phase II Financial LP |
| Class B Voting Common Stock | 97,128 | 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 LP is a NY partnership of which Mr. Lowenthal is sole general partner.
- Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.
Billionaire Hedge Funds
