Filing Details
- Accession Number:
- 0001594628-21-000002
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2021-02-09 14:18:17
- Reporting Period:
- 2020-12-31
- Accepted Time:
- 2021-02-09 14:18:17
- 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 | 2020-02-28 | 19 | $24.03 | 3,740 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-05-29 | 21 | $21.10 | 3,761 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-08-27 | 18 | $25.23 | 3,779 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-12-04 | 15 | $29.46 | 3,795 | No | 5 | P | Indirect | Held in the Oppenheimer & Co. Inc. 401k Plan |
| Class A Non-Voting Common Stock | Acquisiton | 2020-12-30 | 121 | $31.43 | 3,915 | 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 | 55,882 | Direct | |
| Class A Non-Voting Common Stock | 174,000 | Indirect | Beneficiary R.S. Lowenthal Trust |
| Class A Non-Voting Common Stock | 150,000 | Indirect | Beneficiary A.R. Lowenthal Trust |
| Class A Non-Voting Common Stock | 303,357 | Indirect | Beneficiary Phase II Financial LP |
| Class B Voting Common Stock | 650 | Direct |
Footnotes
- The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
Billionaire Hedge Funds
