Every Form 4 that Oppenheimer Holdings, Inc. (OPY) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow OPY and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full OPY filings page.
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.
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.
OPPENHEIMER HOLDINGS INC CFO Brad M. Watkins received an award of 2,000 shares of Restricted Class A non-voting common stock on 2/6/2026. According to the award terms, these shares vest on 2/5/2031 if he remains continuously employed by the company. After this award, his reported holdings in this class total 20,000 shares.
Oppenheimer Holdings secretary Dennis P. McNamara received an award of 2,000 shares of Restricted Class A non-voting common stock on February 6, 2026. According to the filing footnote, these shares vest on February 5, 2031, if he remains continuously employed by the company. Following this compensation-related award, McNamara holds 11,500 shares of this Class A non-voting common stock directly.
Oppenheimer Holdings Inc. director Teresa Glasser reported an equity compensation grant of 1,400 shares of Class A non-voting common stock. The transaction is coded as an “other acquisition or disposition” and carries a price of $0.00 per share, reflecting a restricted stock award.
According to the footnote, the 1,400-share award was granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan. Following this grant, Glasser directly holds a total of 18,400 shares of Class A non-voting common stock.
Oppenheimer Holdings Inc. director Lawrence R. Roth reported an award of 1,400 shares of Class A non-voting common stock on February 26, 2026. The restricted stock was granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan at no stated price, bringing his directly held shares to 18,400.
Oppenheimer Holdings Inc. Secretary Dennis P. McNamara sold shares of the company’s Class A non-voting common stock. On March 2, 2026, he completed an open-market sale of 4,673 shares at an average price of $90.67 per share, leaving him with 20,177 shares held directly after the transaction.
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.
Oppenheimer Holdings Inc. director Timothy Martin Dwyer received a restricted stock award of 1,400 shares of Class A non-voting common stock under the company’s 2024 Incentive Plan. The award was reported at a price of $0.00 per share and increased his directly held stake to 28,400 shares.
This Form 4 reflects equity compensation rather than an open-market purchase or sale, aligning the director’s interests more closely with the company’s long-term performance.
Oppenheimer Holdings Inc. director Evan Behrens reported an equity award of 1,400 shares of Class A non-voting common stock. 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.
Following this grant, Behrens directly holds 7,025 shares of Class A non-voting common stock. Restricted stock awards typically vest over time and are used to align directors’ interests with those of shareholders by tying part of their compensation to the company’s equity.
Oppenheimer Holdings director Stacy J. Kanter received a restricted stock award of 1,400 shares of Class A non-voting common stock under the Oppenheimer Holdings Inc. 2024 Incentive Plan. The award was reported at a price of $0.00 per share and increases her directly held position to 5,900 shares.
Oppenheimer Holdings Inc. director Paul M. Friedman reported an other transaction involving 1,400 shares of Class A non-voting common stock. According to the filing, this represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2024 Incentive Plan.
The shares are held indirectly through the Paul M. Friedman Living Trust dated 3/5/19, bringing the trust’s reported holdings of this class of stock to 18,400 shares following the award.
Oppenheimer Holdings director Robert S. Lowenthal reported equity compensation activity involving Class A non-voting common stock. On January 28, 2026, 75,000 shares of Restricted Class A non-voting common stock awarded on January 28, 2021 vested. Of these, 35,505 Class A non-voting common shares were converted and 39,495 shares were forfeited. Following the transactions, he directly owned 129,608 shares of Class A non-voting common stock and 105,000 shares of Restricted Class A non-voting common stock.
Oppenheimer Holdings Inc. CEO Albert G. Lowenthal, a director and more than 10% owner, reported the vesting of previously granted equity awards. On January 28, 2026, 110,000 shares of Restricted Class A non-voting common stock granted on January 28, 2021 reached vesting.
Of this grant, 55,725 Class A non-voting common shares were converted into directly held stock at a price of $0.00 per share, while 54,275 shares were forfeited. Following these transactions, Lowenthal directly holds 254,876 Class A non-voting common shares and 227,500 restricted Class A non-voting common shares.
Oppenheimer Holdings Inc. officer reports restricted stock vesting and share conversion. Secretary Dennis P. McNamara reported the vesting of 5,000 shares of Restricted Class A non-voting common stock originally awarded on January 28, 2021. Of this award, 3,084 Class A non-voting common shares were converted into directly held stock and 1,916 shares were forfeited.
Following these transactions, McNamara directly beneficially owns 9,500 Restricted Class A non-voting common shares and 24,850 Class A non-voting common shares. The transactions were coded as "J," reflecting a non-market, equity-compensation-related change rather than an open-market purchase or sale.
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.