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| Share Name | Share Symbol | Market | Type |
|---|---|---|---|
| Oppenheimer Holdings Inc | NYSE:OPY | NYSE | Common Stock |
| Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|
| 0.50 | 1.25% | 40.55 | 41.197 | 40.02 | 40.02 | 27,614 | 22:30:00 |
| 1. Name and Address of Reporting Person * Lowenthal Robert S | 2. Issuer Name and Ticker or Trading SymbolOPPENHEIMER HOLDINGS INC [OPY] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
| 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) | ||
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person ___ Form Filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
| 1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Amount | (A) or (D) | Price | ||||||||
| Class A non-voting common stock | 2/28/2019 | P (1) | 14.19 | A | $28.22 | 3673 | I | Held in the Oppenheimer & Co. Inc. 401k Plan | ||
| Class A non-voting common stock | 5/24/2019 | P (1) | 15.56 | A | $25.93 | 3689 | I | Held in the Oppenheimer & Co. Inc. 401k Plan | ||
| Class A non-voting common stock | 8/26/2019 | P (1) | 16.5 | A | $27.16 | 3705 | I | Held in the Oppenheimer & Co. Inc. 401k Plan | ||
| Class A non-voting common stock | 11/22/2019 | P (1) | 15.93 | A | $27.83 | 3721 | I | Held in the Oppenheimer & Co. Inc. 401k Plan | ||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
| 1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||
| Explanation of Responses: | |
| (1) | The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. |
| Reporting Owners | |||||
| Reporting Owner Name / Address | |||||
| Director | 10% Owner | Officer | Other | ||
| Lowenthal Robert S 85 BROAD STREET NEW YORK, NY 10004 | X | ||||
| Signatures | ||
| /s/ Jenny Chan, as Attorney-in-fact for Robert S. Lowenthal | 2/7/2020 | |
| **Signature of Reporting Person | Date | |
1 Year Oppenheimer Chart |
1 Month Oppenheimer Chart |
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