0001249030-16-000004.txt : 20160511 0001249030-16-000004.hdr.sgml : 20160511 20160511173145 ACCESSION NUMBER: 0001249030-16-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160509 FILED AS OF DATE: 20160511 DATE AS OF CHANGE: 20160511 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCARTHUR KENNETH W CENTRAL INDEX KEY: 0001249030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12043 FILM NUMBER: 161640944 MAIL ADDRESS: STREET 1: 93 RIVERWOOD PARKWAY CITY: TORONTO ONTARIO STATE: A6 ZIP: M8Y 4E4 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-05-09 1 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001249030 MCARTHUR KENNETH W 1043 ANNETTE COURT BOWEN ISLAND A1 V0N 1G2 BRITISH COLUMBIA, CANADA 1 0 0 0 Class A non-voting common stock 2016-05-09 4 J 0 6500 D 45688 D Class A non-voting common stock 25700 I Shurway Capital Corp. Restricted Class A non-voting common stock 2016-05-09 4 J 0 662 D Class A non-voting common stock 662 0 D Represents a forfeiture of 662 shares of restricted stock granted under the Oppenheimer Holdings Inc. 2006 Equity Incentive Plan on 1/2/13 vesting on 7/1/16 upon the expiration of his term as a director of the reporting person on May 9, 2016. Represents a forfeiture of an aggregate of 6,500 shares of restricted stock granted under the Oppenheimer Holdings Inc. 2006 Equity Incentive Plan and the Oppenheimer Holdings Inc. 2014 Incentive Plan upon the expiration of his term as a director of the reporting person on May 9, 2016. /s/ Kenneth McArthur 2016-05-11