1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Class A non voting stock
|
01/15/2012 |
01/15/2012 |
Class A non voting common stock
|
1,124
|
$
0
(1)
|
D
|
Â
|
Restricted Class A non voting common stock
|
02/24/2014 |
02/24/2014 |
Class A non voting common stock
|
10,000
|
$
0
(2)
|
D
|
Â
|
Restricted Class A non voting common stock
|
01/27/2015 |
01/27/2015 |
Class A non voting common stock
|
10,000
|
$
0
(3)
|
D
|
Â
|
Restricted Class A non voting common stock
|
02/10/2016 |
02/10/2016 |
Class A non voting common stock
|
10,000
|
$
0
(4)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
The transaction is a stock award granted under the Oppenheimer & Co. Inc. Employee Share Plan on 1/30/2009 with vesting on 1/15/2012. |
(2) |
The transaction is a stock award granted under the Oppenheimer & Co. Inc. Employee Share Plan on 2/25/2009 with vesting on the fifth anniverary of the grant. |
(3) |
The transaction is a stock award granted under the Oppenheimer & Co Inc. Employee Share Plan on 1/28/2010 with vesting on the fifth anniverary of the grant. |
(4) |
The transaction is a stock award granted under the Oppenheimer Holdings Inc. 2006 Equity Incentive Plan on 1/29/2011 with vesting on 2/10/2016. |