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