Robert S. Lowenthal - 29 Jan 2023 Form 4 Insider Report for OPPENHEIMER HOLDINGS INC (OPY)

Role
Director
Signature
/s/ Jenny Chan, as Attorney-in-fact for Robert S Lowenthal
Issuer symbol
OPY
Transactions as of
29 Jan 2023
Net transactions value
$0
Form type
4
Filing time
31 Jan 2023, 15:07:31 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 +2,978 +4.9% 63,538 29 Jan 2023 Direct F1
holding OPY Class A non-voting common stock 174,000 29 Jan 2023 Beneficiary R.S. Lowenthal Trust
holding OPY Class A non-voting common stock 150,000 29 Jan 2023 Beneficiary A.R. Lowenthal Trust
holding OPY Class A non-voting common stock 303,357 29 Jan 2023 Beneficiary Phase II Financial LP
holding OPY Class B voting common stock 650 29 Jan 2023 Direct

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 -5,000 -2.4% 202,368 29 Jan 2023 Class A non-voting common stock 2,978 Direct F1
* 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 5,000 shares of Restricted Class A non-voting common stock which were awarded on January 30, 2018 of which 2,978 Class A non-voting common shares were converted and 2,022 shares were forfeited.