Albert G. Lowenthal - 31 Dec 2023 Form 5 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
31 Dec 2023
Net transactions value
+$9,677
Form type
5
Filing time
13 Feb 2024, 16:05:25 UTC
Previous filing
31 Jan 2023
Next filing
29 Jan 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 Purchase $2,406 +55 +0.34% $44.05 16,095 24 Feb 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
transaction OPY Class A non-voting common stock Purchase $2,414 +64 +0.4% $37.43 16,159 26 May 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
transaction OPY Class A non-voting common stock Purchase $2,424 +63 +0.39% $38.53 16,222 25 Aug 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
transaction OPY Class A non-voting common stock Purchase $2,433 +60 +0.37% $40.68 16,282 24 Nov 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
holding OPY Class A non-voting common stock 3,115,768 31 Dec 2023 Phase II Financial LP F2
holding OPY Class A non-voting common stock 159,462 31 Dec 2023 Direct
holding OPY Class B voting common stock 97,128 31 Dec 2023 Phase II Financial Inc. F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
F2 Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
F3 Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.