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

Role
Director
Signature
/s/ Jenny Chan, as Attorney-in-fact for Robert S Lowenthal
Stock symbol
OPY
Transactions as of
Jan 29, 2023
Transactions value $
$0
Form type
4
Date filed
1/31/2023, 03:07 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 +2.98K +4.92% 63.5K Jan 29, 2023 Direct F1
holding OPY Class A non-voting common stock 174K Jan 29, 2023 Beneficiary R.S. Lowenthal Trust
holding OPY Class A non-voting common stock 150K Jan 29, 2023 Beneficiary A.R. Lowenthal Trust
holding OPY Class A non-voting common stock 303K Jan 29, 2023 Beneficiary Phase II Financial LP
holding OPY Class B voting common stock 650 Jan 29, 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 -5K -2.41% 202K Jan 29, 2023 Class A non-voting common stock 2.98K 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.