0001041339-21-000002.txt : 20210209 0001041339-21-000002.hdr.sgml : 20210209 20210209141613 ACCESSION NUMBER: 0001041339-21-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210209 DATE AS OF CHANGE: 20210209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOWENTHAL ALBERT G CENTRAL INDEX KEY: 0001041339 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12043 FILM NUMBER: 21605622 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 5 1 wf-form5_161289815136838.xml FORM 5 X0306 5 2020-12-31 0 0 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001041339 LOWENTHAL ALBERT G 188 MAMARONECK RD SCARSDALE NY 10583 1 1 1 0 CEO Class A non-voting common stock 2020-02-28 5 P 0 72.55 24.03 A 14599 I Held in the Oppenheimer & Co. Inc. 401k Plan Class A non-voting common stock 2020-05-29 5 P 0 83.03 21.10 A 14682 I Held in the Oppenheimer & Co. Inc. 401k Plan Class A non-voting common stock 2020-08-27 5 P 0 69.85 25.22 A 14752 I Held in the Oppenheimer & Co. Inc. 401k Plan Class A non-voting common stock 2020-12-04 5 P 0 60.09 29.46 A 14812 I Held in the Oppenheimer & Co. Inc. 401k Plan Class A non-voting common stock 2020-12-30 5 P 0 471.32 31.43 A 15284 I Held in the Oppenheimer & Co. Inc. 401k Plan Class A non-voting common stock 88554 D Class A non-voting common stock 3115768 I Phase II Financial LP Class B voting common stock 97128 I Phase II Financial Inc. The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner. Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president. /s/ Jenny Chan, as Attorney-in-fact for Albert G. Lowenthal 2021-02-09