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Oppenheimer (NYSE: OPY) CEO receives 200,000 restricted Class A non-voting shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

OPPENHEIMER HOLDINGS INC CEO Robert S. Lowenthal reported two equity compensation awards of restricted Class A non-voting common stock. On February 6, 2026, he was awarded 100,000 restricted shares vesting on the earlier of February 5, 2031, change of control, or death. On May 8, 2026, he received another 100,000 restricted shares vesting on the earlier of December 31, 2030, change of control, or death. Both awards were recorded at a price of $0.00 per share as part of his compensation, not open-market purchases or sales. Following the latest award, his direct holdings of this restricted Class A non-voting common stock increased to 305,000 shares.

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Insider Lowenthal Robert S
Role CEO
Type Security Shares Price Value
Other Restricted Class A non-voting common stock 100,000 $0.00 --
Other Restricted Class A non-voting common stock 100,000 $0.00 --
Holdings After Transaction: Restricted Class A non-voting common stock — 305,000 shares (Direct, null)
Footnotes (1)
  1. The transaction describes the award on 2/6/2026 of Restricted Class A non-voting common stock vesting on the earlier of 2/5/2031, change of control, or death. The transaction describes the award on 5/8/2026 of Restricted Class A non-voting common stock vesting on the earlier of 12/31/2030, change of control, or death.
Award on Feb 6, 2026 100,000 shares Restricted Class A non-voting common stock vesting by Feb 5, 2031 or earlier events
Award on May 8, 2026 100,000 shares Restricted Class A non-voting common stock vesting by Dec 31, 2030 or earlier events
Total restricted shares after transactions 305,000 shares Direct holdings of restricted Class A non-voting common stock following latest award
Grant price per share $0.00 per share Reported transaction price for both restricted stock awards
Total restructuring shares 200,000 shares Shares classified as other acquisition or disposition (code J) in transaction summary
Restricted Class A non-voting common stock financial
"The transaction describes the award on 2/6/2026 of Restricted Class A non-voting common stock vesting on the earlier of 2/5/2031, change of control, or death."
A restricted Class A non‑voting common stock is an ownership share that carries no voting rights and has limits on selling or transferring it, often because of contractual lockups, regulatory rules, or investor agreements. For investors this matters because the shares may be harder to sell and carry less control over company decisions, so their market value and role in a portfolio can be quite different from freely tradable, voting shares — like owning a piece of a cake you can eat but can’t move or vote about how it’s served.
change of control financial
"Restricted Class A non-voting common stock vesting on the earlier of 2/5/2031, change of control, or death."
A change of control occurs when the ownership or management of a company shifts significantly, such as through a sale, merger, or acquisition, resulting in new leadership or ownership structure. This change can impact the company's direction and decision-making, which is important for investors because it may affect the company's stability, strategy, and future prospects.
Form 4 regulatory
"These transactions were reported in a Form 4 insider filing summarizing the CEO’s equity awards."
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
other acquisition or disposition regulatory
"The transaction code description is Other acquisition or disposition for these restricted stock awards."
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Lowenthal Robert S
(Last)(First)(Middle)
OPPENHEIMER HOLDINGS INC.
85 BROAD STREET
(Street)
NEW YORK NEW YORK 10004
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
OPPENHEIMER HOLDINGS INC [ OPY ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
02/06/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction 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)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction 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 (Month/Day/Year)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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Class A non-voting common stock(1)02/06/2026J100,000 (1) (1)Class A non-voting common stock100,000(1)205,000D
Restricted Class A non-voting common stock(2)05/08/2026J100,000 (2) (2)Class A non-voting common stock100,000(2)305,000D
Explanation of Responses:
1. The transaction describes the award on 2/6/2026 of Restricted Class A non-voting common stock vesting on the earlier of 2/5/2031, change of control, or death.
2. The transaction describes the award on 5/8/2026 of Restricted Class A non-voting common stock vesting on the earlier of 12/31/2030, change of control, or death.
Remarks:
/s/ Jenny Chan, as Attorney-in-fact for Robert S. Lowenthal05/11/2026
** Signature of Reporting PersonDate
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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did OPPENHEIMER HOLDINGS INC (OPY) report for CEO Robert S. Lowenthal?

Robert S. Lowenthal reported two awards of restricted Class A non-voting common stock totaling 200,000 shares. These were compensation grants, not market trades, dated February 6, 2026 and May 8, 2026, each for 100,000 restricted shares.

When do Robert S. Lowenthal’s new OPY restricted stock awards vest?

The February 6, 2026 award of 100,000 restricted shares vests on the earlier of February 5, 2031, change of control, or death. The May 8, 2026 award vests on the earlier of December 31, 2030, change of control, or death.

How many restricted OPY Class A non-voting shares does the CEO hold after these awards?

After the May 8, 2026 award, Robert S. Lowenthal directly holds 305,000 shares of restricted Class A non-voting common stock. This reflects the cumulative effect of the two 100,000-share awards reported in the recent Form 4 filing.

Were the OPY CEO’s recent Form 4 transactions open-market buys or sells?

No, the transactions were not open-market buys or sells. They are coded as “J” on Form 4, described as awards of restricted Class A non-voting common stock granted at $0.00 per share as part of his compensation package.

What type of security was granted to the OPY CEO in these Form 4 transactions?

The awards consist of restricted Class A non-voting common stock with underlying Class A non-voting common stock. These restricted shares carry vesting conditions based on time and specified events such as change of control or death before becoming fully vested.