Oppenheimer director awarded 1,400 restricted shares

Oppenheimer Holdings director Suzanne Spaulding reported an award of 1,400 shares of Class A non-voting common stock on February 26, 2026.

Accepted by SEC EDGAR 02/27/2026 - 11:11 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Oppenheimer Holdings director Suzanne Spaulding reported an award of 1,400 shares of Class A non-voting common stock on February 26, 2026. The shares were granted as a restricted stock award under the Oppenheimer Holdings Inc. 2024 Incentive Plan at a stated price of $0.00 per share. After this transaction, Spaulding directly holds 5,900 shares of Class A non-voting common stock.

Insider Trade Summary

Other: 1,400 shares

Other 1 txn

Insider Spaulding Suzanne

Role Director

Type	Security	Shares	Price	Value
Other	Class A non-voting common stock	1,400	$0.00	$0.00

Holdings After Transaction: Class A non-voting common stock — 5,900 shares (Direct)

Footnotes (1)

1. F1. Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did OPPENHEIMER HOLDINGS INC (OPY) report for Suzanne Spaulding?

Oppenheimer Holdings reported that director Suzanne Spaulding received a restricted stock award of 1,400 shares of Class A non-voting common stock. The award was granted under the company’s 2024 Incentive Plan, reflecting routine equity-based director compensation.

How many OPY shares does Suzanne Spaulding hold after the latest Form 4 transaction?

After the reported transaction, director Suzanne Spaulding directly holds 5,900 shares of Oppenheimer Holdings Class A non-voting common stock. This total includes the newly granted 1,400-share restricted stock award under the company’s 2024 Incentive Plan.

What type of security was involved in Suzanne Spaulding’s OPY insider transaction?

The transaction involved Class A non-voting common stock of Oppenheimer Holdings Inc. The filing shows a restricted stock award of 1,400 shares, granted to director Suzanne Spaulding under the company’s 2024 Incentive Plan as equity compensation.

Was Suzanne Spaulding’s OPY restricted stock award a market purchase or sale?

The filing classifies the event as an “Other acquisition or disposition” transaction, coded J, not as an open-market buy or sell. A footnote specifies it represents a restricted stock award under the 2024 Incentive Plan.

What does the footnote on Suzanne Spaulding’s OPY Form 4 transaction explain?

The footnote explains that the 1,400 shares reported represent a restricted stock award granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan. This clarifies the transaction as equity compensation rather than a cash purchase or sale in the open market.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED 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^*

Spaulding Suzanne

(Last) (First) (Middle)

C/O OPPENHEIMER HOLDINGS INC.

85 BROAD STREET

(Street)

NEW YORK NY 10004

(City) (State) (Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
02/26/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. 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)
			Code	V	Amount	(A) or (D)	Price
Class A non-voting common stock	02/26/2026(1)		J		1,400	A	(1)	5,900	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan

Remarks:

	/s/ Jenny Chan, as attorney-in-fact for Suzanne Spaulding	02/27/2026
	** 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).
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