0001041339-18-000003.txt : 20180202 0001041339-18-000003.hdr.sgml : 20180202 20180202143228 ACCESSION NUMBER: 0001041339-18-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180131 FILED AS OF DATE: 20180202 DATE AS OF CHANGE: 20180202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOWENTHAL ALBERT G CENTRAL INDEX KEY: 0001041339 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12043 FILM NUMBER: 18570090 MAIL ADDRESS: STREET 1: 188 MAMARONECK RD CITY: SCARSDALE STATE: NY ZIP: 10583 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER HOLDINGS INC CENTRAL INDEX KEY: 0000791963 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 980080034 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 85 BROAD STREET STREET 2: 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: (212) 825-4331 MAIL ADDRESS: STREET 1: 85 BROAD STREET STREET 2: 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: FAHNESTOCK VINER HOLDINGS INC DATE OF NAME CHANGE: 19950725 FORMER COMPANY: FORMER CONFORMED NAME: VINER E A HOLDINGS LTD DATE OF NAME CHANGE: 19880622 FORMER COMPANY: FORMER CONFORMED NAME: GOLDALE INVESTMENTS LTD DATE OF NAME CHANGE: 19861030 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-01-31 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001041339 LOWENTHAL ALBERT G 188 MAMARONECK RD SCARSDALE NY 10583 1 1 1 0 CEO Restricted Class A non-voting common stock 2018-01-31 4 J 0 9100 A Class A non-voting common stock 9100 122529 D The transaction describes the award on 1/31/2018 of Restricted Class A non-voting common stock vesting on the earlier of 1/30/2023 or death. /s/ A.G. Lowenthal 2018-02-02