FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Lowenthal Robert S
2. Issuer Name and Ticker or Trading Symbol

OPPENHEIMER 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)
(Last)          (First)          (Middle)

C/O OPPENHEIMER HOLDINGS INC., 85 BROAD STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

1/28/2019
(Street)

NEW YORK, NY 10004
(City)        (State)        (Zip)
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)
Code V Amount (A) or (D) Price
Class A non-voting common stock   1/28/2019     J    2482   A   (1) 38630   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 A non-voting common stock                  3659   I   Participant Oppenheimer 401k Plan  
Class B voting common stock                  650   D    

Table II - Derivative Securities 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 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 Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Class A non-voting common stock     (1) 1/28/2019     J         4400      (1)   (1) Class A non-voting common stock   2482     (1) 44524   D    
Restricted Class A non-voting common stock     (2) 1/31/2019     J      18868         (2)   (2) Class A non-voting common stock   18868     (2) 63392   D    

Explanation of Responses:
(1)  The transaction describes the vesting of 4,400 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 2,482 Class A non-voting common shares were converted and 1,918 shares were forfeited.
(2)  The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Lowenthal Robert S
C/O OPPENHEIMER HOLDINGS INC.
85 BROAD STREET
NEW YORK, NY 10004
X



Signatures
/s/ Jenny Chan, as Attorney-in-fact for Robert S. Lowenthal 2/1/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Oppenheimer (NYSE:OPY)
Historical Stock Chart
From Feb 2024 to Mar 2024 Click Here for more Oppenheimer Charts.
Oppenheimer (NYSE:OPY)
Historical Stock Chart
From Mar 2023 to Mar 2024 Click Here for more Oppenheimer Charts.