Form 4 for OPY OPPENHEIMER HOLDINGS INC

Accepted 2025-01-30 00:00:00 ET · period of report 2025-01-28 · accession 0001041339-25-000003 · 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
D	2025-01-30	2025-01-28	OPY	LOWENTHAL ALBERT G	CEO, Dir, 10%	J - Other	—	+39.7K	199.2K	+25%	—
DM	2025-01-30	2025-01-28+	OPY	LOWENTHAL ALBERT G	CEO, Dir, 10%	J - Other	—	-44.5K	337.5K	-12%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Class A non-voting common stock	2025-01-28	J	A	39,689	—	199,151	D	—	—	(F1) The transaction describes the vesting of 77,000 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2020 of which 39,689 Class A non-voting common shares were converted and 37,311 shares were forfeited.
2	Derivative	Restricted Class A non-voting common stock	2025-01-28	J	D	77,000	—	305,000	D	— · — to —	77,000 Class A non-voting common stock	(F1) The transaction describes the vesting of 77,000 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2020 of which 39,689 Class A non-voting common shares were converted and 37,311 shares were forfeited.
3	Derivative	Restricted Class A non-voting common stock	2025-01-29	J	A	32,500	—	337,500	D	— · — to —	32,500 Class A non-voting common stock	(F2) The transaction describes the award on 1/29/2025 of Restricted Class A non-voting common stock vesting on the earlier of 1/28/2030 or death.