0001594628-21-000003.txt : 20210224 0001594628-21-000003.hdr.sgml : 20210224 20210224162610 ACCESSION NUMBER: 0001594628-21-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210223 FILED AS OF DATE: 20210224 DATE AS OF CHANGE: 20210224 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: 21673652 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 wf-form4_161420194479806.xml FORM 4 X0306 4 2021-02-23 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001594628 Lowenthal Robert S OPPENHEIMER HOLDINGS INC. 85 BROAD STREET NEW YORK NY 10004 1 0 0 0 Class A non-voting common stock 2021-02-23 4 J 0 4678 A 60560 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 2021-02-23 4 J 0 10000 D Class A non-voting common stock 4678.0 137368 D The transaction describes the vesting of 10,000 shares of Restricted Class A non-voting common stock which were awarded on February 24, 2016 of which 4,678 Class A non-voting common shares were converted and 5,322 shares were forfeited. /s/ Jenny Chan, as Attorney-in-fact for Robert S Lowenthal 2021-02-24