ALBERT G. LOWENTHAL - 29 Jan 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
Issuer symbol
OPY
Transactions as of
29 Jan 2023
Net transactions value
$0
Form type
4
Filing time
31 Jan 2023, 15:09:41 UTC
Previous filing
27 Jan 2023
Next filing
13 Feb 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OPY Class A non-voting common stock Other +25,771 +29% 114,325 29 Jan 2023 Direct F1
transaction OPY Class A non-voting common stock Other +4,454 +3.9% 118,779 30 Jan 2023 Direct F2
holding OPY Class A non-voting common stock 3,115,768 29 Jan 2023 Phase II Financial LP F3
holding OPY Class B voting common stock 97,128 29 Jan 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 -46,429 -9.8% 426,572 29 Jan 2023 Class A non-voting common stock 25,771 Direct F1
transaction OPY Restricted Class A non-voting common stock Other -9,100 -2.1% 417,472 30 Jan 2023 Class A non-voting common stock 4,454 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.