Oppenheimer director granted 3,000 restricted OPY shares

Oppenheimer Holdings Inc. director receives restricted stock award.

Rhea-AI Filing Summary

Oppenheimer Holdings Inc. director receives restricted stock award. Director Suzanne Spaulding was granted 3,000 shares of Class A non-voting common stock on 09/22/2025 as a restricted stock award under the Oppenheimer Holdings Inc. 2024 Incentive Plan. After this grant, she beneficially owns 4,500 Class A non-voting shares directly.

Insider Trade Summary

Other: 3,000 shares

Other 1 txn

Insider Spaulding Suzanne

Role Director

Type	Security	Shares	Price	Value
Other	Class A non-voting common stock	3,000	$0.00	$0.00

Holdings After Transaction: Class A non-voting common stock — 4,500 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 OPY director Suzanne Spaulding report on this Form 4?

Suzanne Spaulding reported receiving 3,000 shares of OPY Class A non-voting common stock. The filing shows this as a restricted stock award granted under the company’s 2024 Incentive Plan, increasing her direct beneficial ownership to 4,500 Class A non-voting shares.

Was the OPY Form 4 transaction a purchase or a stock award?

The OPY Form 4 shows a stock award, not an open-market purchase. The 3,000 Class A non-voting shares were granted as restricted stock under the Oppenheimer Holdings Inc. 2024 Incentive Plan, with a reported price per share of $0.0000 in the transaction table.

How many OPY shares does Suzanne Spaulding own after this restricted stock grant?

After the restricted stock grant, Suzanne Spaulding beneficially owns 4,500 shares of OPY Class A non-voting common stock. The Form 4 lists this figure in the column for securities beneficially owned following the reported transaction, with ownership reported as direct rather than indirect.

What does transaction code "J" mean in the OPY Form 4 for Suzanne Spaulding?

Transaction code "J" on this OPY Form 4 denotes an acquisition that does not fit standard purchase or grant codes. Here, the accompanying footnote explains the 3,000 shares represent a restricted stock award under the Oppenheimer Holdings Inc. 2024 Incentive Plan.

Are the OPY shares reported by Suzanne Spaulding held directly or indirectly?

The OPY shares reported by Suzanne Spaulding are held directly. The Form 4 lists 4,500 Class A non-voting common shares as beneficially owned following the transaction, with the ownership form column indicating “D” for direct and no indirect ownership entity described.

What plan was used for Suzanne Spaulding’s OPY restricted stock award?

The restricted stock award was granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan. A footnote to the Form 4 states that the 3,000 Class A non-voting shares represent a restricted stock award made pursuant to this incentive plan for company directors and eligible participants.

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

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Accepted by SEC EDGAR 01/29/2026 - 04:46 PM Learn about SEC filing dates

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)
09/22/2025

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	09/22/2025		J		3,000(1)	A	(1)	4,500	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	01/28/2026
	** 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).
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.