0001594628-20-000005.txt : 20200227 0001594628-20-000005.hdr.sgml : 20200227 20200227100133 ACCESSION NUMBER: 0001594628-20-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200225 FILED AS OF DATE: 20200227 DATE AS OF CHANGE: 20200227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lowenthal Robert S CENTRAL INDEX KEY: 0001594628 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12043 FILM NUMBER: 20658848 MAIL ADDRESS: STREET 1: 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-02-25 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001594628 Lowenthal Robert S 85 BROAD STREET NEW YORK NY 10004 1 0 0 0 Class A non-voting common stock 2020-02-25 4 J 0 2339 A 55882 D Class A non-voting common stock 174000 I Beneficiary R.S. Lowenthal Trust Class A non-voting common stock 150000 I Beneficiary A.R. Lowenthal Trust Class A non-voting common stock 303357 I Beneficiary Phase II Financial LP Class B voting common stock 650 D Restricted Class A non-voting common stock 2020-02-25 4 J 0 5000 D Class A non-voting common stock 2339 72368 D The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on February 26, 2015 of which 2,339 Class A non-voting common shares were converted and 2,661 shares were forfeited. /s/ Jenny Chan, as Attorney-in-fact for Robert S. Lowenthal 2020-02-27