Albert G. Lowenthal - Dec 31, 2023 Form 5 Insider Report for OPPENHEIMER HOLDINGS INC (OPY)

Role
CEO, Director, 10%+ Owner
Signature
/s/ Jenny Chan, as Attorney-in-fact for Albert G. Lowenthal
Stock symbol
OPY
Transactions as of
Dec 31, 2023
Transactions value $
$9,677
Form type
5
Date filed
2/13/2024, 04:05 PM
Previous filing
Jan 31, 2023
Next filing
Jan 29, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OPY Class A non-voting common stock Purchase $2.41K +54.6 +0.34% $44.05 16.1K Feb 24, 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
transaction OPY Class A non-voting common stock Purchase $2.41K +64.5 +0.4% $37.43 16.2K May 26, 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
transaction OPY Class A non-voting common stock Purchase $2.42K +62.9 +0.39% $38.53 16.2K Aug 25, 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
transaction OPY Class A non-voting common stock Purchase $2.43K +59.8 +0.37% $40.68 16.3K Nov 24, 2023 Held in the Oppenheimer & Co. Inc. 401k Plan F1
holding OPY Class A non-voting common stock 3.12M Dec 31, 2023 Phase II Financial LP F2
holding OPY Class A non-voting common stock 159K Dec 31, 2023 Direct
holding OPY Class B voting common stock 97.1K Dec 31, 2023 Phase II Financial Inc. F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan.
F2 Phase II Financial LP is a NY partnership of which Mr. Lowenthal is sole general partner.
F3 Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president.