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