Form 4 for OPY OPPENHEIMER HOLDINGS INC

Accepted 2023-01-31 00:00:00 ET · period of report 2023-01-29 · accession 0001594628-23-000004 · 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
D	2023-01-31	2023-01-29	OPY	Lowenthal Robert S	Dir	J - Other	—	+2,978	63.5K	+5%	—
D	2023-01-31	2023-01-29	OPY	Lowenthal Robert S	Dir	J - Other	—	-5,000	202.4K	-2%	—

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	2023-01-29	J	A	2,978	—	63,538	D	—	—	(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.
2	Derivative	Restricted Class A non-voting common stock	2023-01-29	J	D	5,000	—	202,368	D	— · — to —	2,978 Class A non-voting common stock	(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.