Albert G. Lowenthal - Jan 29, 2023 Form 4 Insider Report for OPPENHEIMER HOLDINGS INC (OPY)

Role
CEO, Director, 10%+ Owner
Signature
/s/ Jenny Chan, as Attorney-in-fact for Albert G. Lowenthal
Stock symbol
OPY
Transactions as of
Jan 29, 2023
Transactions value $
$0
Form type
4
Date filed
1/31/2023, 03:09 PM
Previous filing
Jan 27, 2023
Next filing
Feb 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OPY Class A non-voting common stock Other +25.8K +29.1% 114K Jan 29, 2023 Direct F1
transaction OPY Class A non-voting common stock Other +4.45K +3.9% 119K Jan 30, 2023 Direct F2
holding OPY Class A non-voting common stock 3.12M Jan 29, 2023 Phase II Financial LP F3
holding OPY Class B voting common stock 97.1K Jan 29, 2023 Phase II Financial Inc. F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction OPY Restricted Class A non-voting common stock Other -46.4K -9.82% 427K Jan 29, 2023 Class A non-voting common stock 25.8K Direct F1
transaction OPY Restricted Class A non-voting common stock Other -9.1K -2.13% 417K Jan 30, 2023 Class A non-voting common stock 4.45K Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The transaction describes the vesting of 46,429 shares of Restricted Class A non-voting common stock which were awarded on January 30, 2018 of which 25,771 Class A non-voting common shares were converted and 20,658 shares were forfeited.
F2 The transaction describes the vesting of 9,100 shares of Restricted Class A non-voting common stock which were awarded on January 31, 2018 of which 4,454 Class A non-voting common shares were converted and 4,646 shares were forfeited.
F3 Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
F4 Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.