0001594628-18-000002.txt : 20180201 0001594628-18-000002.hdr.sgml : 20180201 20180201180110 ACCESSION NUMBER: 0001594628-18-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180130 FILED AS OF DATE: 20180201 DATE AS OF CHANGE: 20180201 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: 18567980 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 2018-01-30 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001594628 Lowenthal Robert S 85 BROAD STREET NEW YORK NY 10004 1 0 0 0 Restricted Class A non-voting common stock 2018-01-30 4 J 0 5000 A Class A non-voting common stock 5000 48924 D The transaction describes the award on 1/30/2018 of Restricted Class A non-voting common stock vesting on 1/29/2023, subject to the awardee being continuously employed by the company until such time. R.S. Lowenthal 2018-02-01