Oppenheimer chair awarded 40,000 restricted shares

Oppenheimer Holdings Inc. director and chairman Albert G. Lowenthal received an award of 40,000 shares of Restricted Class A non-voting common stock.

Rhea-AI Filing Summary

Oppenheimer Holdings Inc. director and chairman Albert G. Lowenthal received an award of 40,000 shares of Restricted Class A non-voting common stock. The award was granted on February 6, 2026 and vests on the earlier of February 5, 2031, a change of control, or his death. Following this compensation grant, his direct holdings in this class of stock total 267,500 shares, and there was no open-market buying or selling involved.

Insider Trade Summary

Other: 40,000 shares

Other 1 txn

Insider LOWENTHAL ALBERT G

Role Chairman

Type	Security	Shares	Price	Value
Other	Restricted Class A non-voting common stock	40,000	$0.00	$0.00

Holdings After Transaction: Restricted Class A non-voting common stock — 267,500 contracts (Direct)

Footnotes (1)

1. F1. 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.

Key Figures

Restricted shares awarded: 40,000 shares Post-award holdings: 267,500 shares Vesting date: February 5, 2031 +2 more

5 metrics

Restricted shares awarded 40,000 shares Restricted Class A non-voting common stock granted on February 6, 2026

Post-award holdings 267,500 shares Restricted Class A non-voting common stock held directly after transaction

Vesting date February 5, 2031 Vests on earlier of this date, change of control, or death

Award price per share $0.0000 per share Reported transaction price for restricted stock award

Underlying security 40,000 shares Underlying Class A non-voting common stock tied to the restricted award

Key Terms

Restricted Class A non-voting common stock, change of control, underlying security, Form 4

4 terms

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"

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

"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.

underlying security financial

"underlying_security_title: Class A non-voting common stock"

Form 4 regulatory

"INSIDER FILING DATA (Form 4)"

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.

FAQ

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

What insider transaction did OPY chairman Albert G. Lowenthal report?

Albert G. Lowenthal reported receiving an award of 40,000 Restricted Class A non-voting common shares. This is a compensation grant, not an open-market trade, and increases his direct holdings in this class of stock to 267,500 shares.

When do the newly awarded OPY restricted shares vest?

The 40,000 Restricted Class A non-voting OPY shares vest on the earlier of February 5, 2031, a change of control, or Lowenthal’s death. Until vesting, the shares remain restricted and subject to these stated conditions.

Did the OPY Form 4 show any insider buying or selling in the market?

The Form 4 for OPY did not report any open-market purchases or sales. It reflects only a stock award of restricted Class A non-voting common shares as compensation, not a discretionary buy or sell transaction.

How many OPY restricted Class A shares does Lowenthal hold after this award?

After the 40,000-share award, Albert G. Lowenthal holds 267,500 Restricted Class A non-voting common shares directly. This figure comes from the post-transaction ownership reported in the Form 4 filing for Oppenheimer Holdings Inc.

What type of security was granted in the OPY insider transaction?

The security granted was Restricted Class A non-voting common stock of Oppenheimer Holdings Inc. (OPY). These restricted shares convert into Class A non-voting common stock, subject to vesting conditions tied to time and specified events.

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

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Accepted by SEC EDGAR 05/11/2026 - 04:08 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^*

LOWENTHAL ALBERT G

(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)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	Chairman

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
02/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Class A non-voting common stock	(1)	02/06/2026		J		40,000		(1)	(1)	Class A non-voting common stock	40,000	(1)	267,500	D

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.

Remarks:

	/s/ Jenny Chan, as Attorney-in-fact for Albert G. Lowenthal	05/11/2026
	** 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.
* Form 4: SEC 1474 (03-26)