-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IrF/QFBvLqW8NpDU0j3N7o14HhNnW2g/ebz+6nrOMTLEy8ki6WRqWvv7f2Fq98as AVijieGY5k7LpWhYgMMS9w== 0001041339-03-000001.txt : 20031107 0001041339-03-000001.hdr.sgml : 20031107 20031107161218 ACCESSION NUMBER: 0001041339-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031106 FILED AS OF DATE: 20031107 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: A6 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: SUITE 1110, P.O. BOX 2015 STREET 2: 20 EGLINTON AVE. WEST CITY: TORONTO STATE: A6 ZIP: M4R 1K8 BUSINESS PHONE: (416)322-1515 MAIL ADDRESS: STREET 1: PO BOX 2015 SUITE 1110 STREET 2: 20 EGLINTON AVENUE WEST CITY: TORONTO STATE: A6 ZIP: M4R 1K8 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOWENTHAL ALBERT G CENTRAL INDEX KEY: 0001041339 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12043 FILM NUMBER: 03985369 BUSINESS ADDRESS: STREET 1: C/O OPPENHEIMER HOLDINGS INC STREET 2: BOX 2015, 20 EGLINTON AVE. W. CITY: TORONTO ONTARIO STATE: A6 ZIP: M4R 1K8 BUSINESS PHONE: 4163221515 MAIL ADDRESS: STREET 1: 188 MAMARONECK RD CITY: SCARSDALE STATE: NY ZIP: 10583 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-11-06 0 0000791963 OPPENHEIMER HOLDINGS INC OPY 0001041339 LOWENTHAL ALBERT G 188 MAMARONECK RD SCARSDALE NY 10583 1 1 1 0 CHAIRMAN AND CEO Class A non-voting 2001-06-26 4 S 0 1000 27.05 D 4000 I *** Class A non-voting 2001-08-21 4 S 0 2000 26.05 D 2000 I *** Class A non-voting shares 2003-11-06 4 S 0 2000 34.5 D 0 I *** Class A non-voting shares 2003-11-06 4 S 0 7470 34.5 D 2588430 I ** Two trades made by the Albert G. Lowenthal Foundation were inadvertently not reported on a timely basis and are included now, following the discovery of this mistake. ** held by Phase II Financial LP, a NY partnership, of which Mr. Lowenthal is sole general partner *** held by the Albert G. Lowenthal Foundation, of which Mr. Lowenthal is a co-trustee Albert G. Lowenthal 2003-11-07 -----END PRIVACY-ENHANCED MESSAGE-----