Filing Details

Accession Number:
0001041339-24-000007
Form Type:
5
Zero Holdings:
No
Publication Time:
2024-02-13 16:05:25
Reporting Period:
2023-12-31
Accepted Time:
2024-02-13 16:05:25
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
1041339 G Albert Lowenthal Oppenheimer Holdings Inc.
85 Broad Street
New York NY 10004
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 2023-02-24 55 $44.05 16,095 No 5 P Indirect Held in the Oppenheimer & Co. Inc. 401k Plan
Class A Non-Voting Common Stock Acquisiton 2023-05-26 65 $37.43 16,159 No 5 P Indirect Held in the Oppenheimer & Co. Inc. 401k Plan
Class A Non-Voting Common Stock Acquisiton 2023-08-25 63 $38.53 16,222 No 5 P Indirect Held in the Oppenheimer & Co. Inc. 401k Plan
Class A Non-Voting Common Stock Acquisiton 2023-11-24 60 $40.68 16,282 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
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Non-Voting Common Stock 3,115,768 Indirect Phase II Financial LP
Class A Non-Voting Common Stock 159,462 Direct
Class B Voting Common Stock 97,128 Indirect Phase II Financial Inc.
Footnotes
  1. The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
  2. Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
  3. Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.