InsiderTrades

Form 4 for OPY OPPENHEIMER HOLDINGS INC

Accepted 2023-01-31 00:00:00 ET · period of report 2023-01-29 · accession 0001041339-23-000004 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
DM 2023-01-31 2023-01-29+ OPY LOWENTHAL ALBERT G CEO, Dir, 10% J - Other — +30.2K 114.3K +36% —
DM 2023-01-31 2023-01-29+ OPY LOWENTHAL ALBERT G CEO, Dir, 10% J - Other — -55.5K 417.5K -12% —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Class A non-voting common stock 2023-01-30 J A 4,454 — 118,779 D — — (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.
2 Common Class A non-voting common stock 2023-01-29 J A 25,771 — 114,325 D — — (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.
3 Derivative Restricted Class A non-voting common stock 2023-01-29 J D 46,429 — 426,572 D — · — to — 25,771 Class A non-voting common stock (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.
4 Derivative Restricted Class A non-voting common stock 2023-01-30 J D 9,100 — 417,472 D — · — to — 4,454 Class A non-voting common stock (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.