0001041339-23-000004.txt : 20230131 0001041339-23-000004.hdr.sgml : 20230131 20230131160941 ACCESSION NUMBER: 0001041339-23-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230129 FILED AS OF DATE: 20230131 DATE AS OF CHANGE: 20230131 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: 23572650 MAIL ADDRESS: STREET 1: OPPENHEIMER HOLDINGS INC. STREET 2: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 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 wf-form4_167519936445885.xml FORM 4 X0306 4 2023-01-29 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001041339 LOWENTHAL ALBERT G OPPENHEIMER HOLDINGS INC. 85 BROAD STREET NEW YORK NY 10004 1 1 1 0 CEO Class A non-voting common stock 2023-01-29 4 J 0 25771 A 114325 D Class A non-voting common stock 2023-01-30 4 J 0 4454 A 118779 D Class A non-voting common stock 3115768 I Phase II Financial LP Class B voting common stock 97128 I Phase II Financial Inc. Restricted Class A non-voting common stock 2023-01-29 4 J 0 46429 D Class A non-voting common stock 25771.0 426572 D Restricted Class A non-voting common stock 2023-01-30 4 J 0 9100 D Class A non-voting common stock 4454.0 417472 D The transaction describes the vesting of 46,429 shares of Restricted Class A non-voting common stock which were awarded on January 30, 2018 of which 25,771 Class A non-voting common shares were converted and 20,658 shares were forfeited. The transaction describes the vesting of 9,100 shares of Restricted Class A non-voting common stock which were awarded on January 31, 2018 of which 4,454 Class A non-voting common shares were converted and 4,646 shares were forfeited. 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 2023-01-31