Last 12 months
Inside the activity.
2 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 2 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 1 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 25, 2020 Filed Jan 27, 2020 22:07 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
OtherClass A non-voting common stock | 39,635 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001041339-20-000001 · primary_doc.xml · nonDerivative · entry 1 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,554 F1 · price: The transaction describes the vesting of 67,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 39,635 Class A non-voting common shares were converted and 27,365 shares were forfeited. Read SEC document |
| January 25, 2020 Filed Jan 27, 2020 21:53 UTC |
Lowenthal Robert SDirector
|
OtherRestricted Class A non-voting common stock · Derivative | 15,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001594628-20-000001 · primary_doc.xml · derivative · entry 6 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,392 Underlying: Class A non-voting common stock · 9,030 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 15,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 9,030 Class A non-voting common shares were converted and 5,970 shares were forfeited. F1 · price: The transaction describes the vesting of 15,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 9,030 Class A non-voting common shares were converted and 5,970 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 15,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 9,030 Class A non-voting common shares were converted and 5,970 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 15,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 9,030 Class A non-voting common shares were converted and 5,970 shares were forfeited. Read SEC document |
| January 25, 2020 Filed Jan 27, 2020 21:53 UTC |
Lowenthal Robert SDirector
|
OtherClass A non-voting common stock | 9,030 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001594628-20-000001 · primary_doc.xml · nonDerivative · entry 1 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,660 F1 · price: The transaction describes the vesting of 15,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 9,030 Class A non-voting common shares were converted and 5,970 shares were forfeited. Read SEC document |
| January 25, 2020 Filed Jan 27, 2020 21:41 UTC |
McNAMARA DENNIS PSecretary
|
OtherRestricted Class A non-voting common stock · Derivative | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-20-000001 · primary_doc.xml · derivative · entry 2 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,881 Underlying: Class A non-voting common stock · 3,042 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 3,042 Class A non-voting common shares were converted and 1,958 shares were forfeited. F1 · price: The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 3,042 Class A non-voting common shares were converted and 1,958 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 3,042 Class A non-voting common shares were converted and 1,958 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 3,042 Class A non-voting common shares were converted and 1,958 shares were forfeited. Read SEC document |
| January 25, 2020 Filed Jan 27, 2020 21:41 UTC |
McNAMARA DENNIS PSecretary
|
OtherClass A non-voting common stock | 3,042 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-20-000001 · primary_doc.xml · nonDerivative · entry 1 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,766 F1 · price: The transaction describes the vesting of 5,000 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 3,042 Class A non-voting common shares were converted and 1,958 shares were forfeited. Read SEC document |
| January 25, 2020 Filed Jan 27, 2020 21:34 UTC | OtherRestricted Class A non-voting common stock · Derivative | 8,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-20-000001 · primary_doc.xml · derivative · entry 3 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,381 Underlying: Class A non-voting common stock · 5,012 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 8,500 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 5,012 Class A non-voting common shares were converted and 3,488 shares were forfeited. F1 · price: The transaction describes the vesting of 8,500 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 5,012 Class A non-voting common shares were converted and 3,488 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 8,500 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 5,012 Class A non-voting common shares were converted and 3,488 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 8,500 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 5,012 Class A non-voting common shares were converted and 3,488 shares were forfeited. Read SEC document |
|
| January 25, 2020 Filed Jan 27, 2020 21:34 UTC | OtherClass A non-voting common stock | 5,012 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-20-000001 · primary_doc.xml · nonDerivative · entry 1 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,347 F1 · price: The transaction describes the vesting of 8,500 shares of Restricted Class A non-voting common stock which were awarded on January 26, 2017 of which 5,012 Class A non-voting common shares were converted and 3,488 shares were forfeited. Read SEC document |
|
| November 22, 2019 Filed Feb 7, 2020 21:18 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 62.18 | $27.83 | $1,730.47 |
DisclosureSEC source: 0001041339-20-000003 · primary_doc.xml · nonDerivative · entry 4 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,527 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| November 22, 2019 Filed Feb 7, 2020 21:13 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 15.93 | $27.83 | $443.33 |
DisclosureSEC source: 0001594628-20-000004 · primary_doc.xml · nonDerivative · entry 4 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,721 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| September 18, 2019 Filed Sep 19, 2019 15:13 UTC |
OUGHTRED A WINNDirector
|
SaleClass A non-voting common stock | 10,000 | $31.02 | $310,200.00 |
DisclosureSEC source: 0001249033-19-000002 · primary_doc.xml · nonDerivative · entry 1 OUGHTRED A WINN · CIK 0001249033 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,150 Read SEC document |
| August 26, 2019 Filed Feb 7, 2020 21:18 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 64.41 | $27.16 | $1,749.38 |
DisclosureSEC source: 0001041339-20-000003 · primary_doc.xml · nonDerivative · entry 3 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,465 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| August 26, 2019 Filed Feb 7, 2020 21:13 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 16.5 | $27.16 | $448.14 |
DisclosureSEC source: 0001594628-20-000004 · primary_doc.xml · nonDerivative · entry 3 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,705 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| May 24, 2019 Filed Feb 7, 2020 21:18 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 60.74 | $25.93 | $1,574.99 |
DisclosureSEC source: 0001041339-20-000003 · primary_doc.xml · nonDerivative · entry 2 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,400 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| May 24, 2019 Filed Feb 7, 2020 21:13 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 15.56 | $25.93 | $403.47 |
DisclosureSEC source: 0001594628-20-000004 · primary_doc.xml · nonDerivative · entry 2 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,689 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 19:33 UTC |
EHRHARDT WILLIAMDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001435741-19-000001 · primary_doc.xml · nonDerivative · entry 1 EHRHARDT WILLIAM · CIK 0001435741 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,350 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 19:37 UTC |
OUGHTRED A WINNDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001249033-19-000001 · primary_doc.xml · nonDerivative · entry 1 OUGHTRED A WINN · CIK 0001249033 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,150 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 19:29 UTC |
Friedman Paul MDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001648181-19-000001 · primary_doc.xml · nonDerivative · entry 1 Friedman Paul M · CIK 0001648181 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 19:24 UTC |
ROTH R LAWRENCEDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001215176-19-000001 · primary_doc.xml · nonDerivative · entry 1 ROTH R LAWRENCE · CIK 0001215176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 19:09 UTC |
Glasser TeresaDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001741163-19-000001 · primary_doc.xml · nonDerivative · entry 1 Glasser Teresa · CIK 0001741163 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 18:54 UTC |
Dwyer Timothy MartinDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001329599-19-000001 · primary_doc.xml · nonDerivative · entry 1 Dwyer Timothy Martin · CIK 0001329599 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Mar 1, 2019 18:49 UTC |
BEHRENS EVANDirector
|
GrantClass A non-voting common stock | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001481324-19-000001 · primary_doc.xml · nonDerivative · entry 1 BEHRENS EVAN · CIK 0001481324 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,500 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan F1 · price: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| February 28, 2019 Filed Feb 7, 2020 21:18 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 55.4 | $28.22 | $1,563.39 |
DisclosureSEC source: 0001041339-20-000003 · primary_doc.xml · nonDerivative · entry 1 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,339 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| February 28, 2019 Filed Feb 7, 2020 21:13 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 14.19 | $28.22 | $400.44 |
DisclosureSEC source: 0001594628-20-000004 · primary_doc.xml · nonDerivative · entry 1 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,673 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 18:58 UTC |
McNAMARA DENNIS PSecretary
|
OtherRestricted Class A non-voting common stock · Derivative | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-19-000002 · primary_doc.xml · derivative · entry 2 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,881 Underlying: Class A non-voting common stock · 1,235 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,320 Class A non-voting common shares were converted and 680 shares were forfeited. F1 · price: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,320 Class A non-voting common shares were converted and 680 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,320 Class A non-voting common shares were converted and 680 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,320 Class A non-voting common shares were converted and 680 shares were forfeited. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 18:58 UTC |
McNAMARA DENNIS PSecretary
|
OtherClass A non-voting common stock | 1,320 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-19-000002 · primary_doc.xml · nonDerivative · entry 1 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,724 F1 · price: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,320 Class A non-voting common shares were converted and 680 shares were forfeited. Read SEC document |
| February 26, 2019 Filed Feb 27, 2019 18:55 UTC | OtherRestricted Class A non-voting common stock · Derivative | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-19-000002 · primary_doc.xml · derivative · entry 3 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,881 Underlying: Class A non-voting common stock · 1,235 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,235 Class A non-voting common shares were converted and 765 shares were forfeited. F1 · price: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,235 Class A non-voting common shares were converted and 765 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,235 Class A non-voting common shares were converted and 765 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,235 Class A non-voting common shares were converted and 765 shares were forfeited. Read SEC document |
|
| February 26, 2019 Filed Feb 27, 2019 18:55 UTC | OtherClass A non-voting common stock | 1,235 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-19-000002 · primary_doc.xml · nonDerivative · entry 1 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,335 F1 · price: The transaction describes the vesting of 2,000 shares of Restricted Class A non-voting common stock which were awarded on February 27, 2014 of which 1,235 Class A non-voting common shares were converted and 765 shares were forfeited. Read SEC document |
|
| February 08, 2019 Filed Feb 11, 2019 16:51 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass B voting common stock | 1,007 | $26.33 | $26,514.31 |
DisclosureSEC source: 0001041339-19-000003 · primary_doc.xml · nonDerivative · entry 1 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Phase II Financial Inc. Disclosed balance after: 97,128 F1 · ownership.nature: Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president. Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 20:47 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
OtherRestricted Class A non-voting common stock · Derivative | 75,472 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001041339-19-000002 · primary_doc.xml · derivative · entry 1 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,001 Underlying: Class A non-voting common stock · 75,472 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on the earlier of 1/30/2024 or death. F1 · price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on the earlier of 1/30/2024 or death. F1 · derivative.exercise_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on the earlier of 1/30/2024 or death. F1 · derivative.expiration_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on the earlier of 1/30/2024 or death. Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 19:57 UTC |
Lowenthal Robert SDirector
|
OtherRestricted Class A non-voting common stock · Derivative | 18,868 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001594628-19-000002 · primary_doc.xml · derivative · entry 8 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,392 Underlying: Class A non-voting common stock · 18,868 shares Expires not disclosed F2 · derivative.exercise_price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · derivative.exercise_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · derivative.expiration_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 19:28 UTC |
McNAMARA DENNIS PSecretary
|
OtherRestricted Class A non-voting common stock · Derivative | 4,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-19-000001 · primary_doc.xml · derivative · entry 3 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,881 Underlying: Class A non-voting common stock · 4,000 shares Expires not disclosed F2 · derivative.exercise_price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · derivative.exercise_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · derivative.expiration_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. Read SEC document |
| January 31, 2019 Filed Feb 1, 2019 19:18 UTC | OtherRestricted Class A non-voting common stock · Derivative | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-19-000001 · primary_doc.xml · derivative · entry 4 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,881 Underlying: Class A non-voting common stock · 5,000 shares Expires not disclosed F2 · derivative.exercise_price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · price: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · derivative.exercise_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · derivative.expiration_date: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. F2 · balance_after: The transaction describes the award on 1/31/2019 of Restricted Class A non-voting common stock vesting on 1/30/2024, subject to the awardee being continuously employed by the company until such time. Read SEC document |
|
| January 28, 2019 Filed Feb 1, 2019 19:57 UTC |
Lowenthal Robert SDirector
|
OtherRestricted Class A non-voting common stock · Derivative | 4,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001594628-19-000002 · primary_doc.xml · derivative · entry 7 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,524 Underlying: Class A non-voting common stock · 2,482 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 4,400 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 2,482 Class A non-voting common shares were converted and 1,918 shares were forfeited. F1 · price: The transaction describes the vesting of 4,400 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 2,482 Class A non-voting common shares were converted and 1,918 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 4,400 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 2,482 Class A non-voting common shares were converted and 1,918 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 4,400 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 2,482 Class A non-voting common shares were converted and 1,918 shares were forfeited. Read SEC document |
| January 28, 2019 Filed Feb 1, 2019 19:57 UTC |
Lowenthal Robert SDirector
|
OtherClass A non-voting common stock | 2,482 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001594628-19-000002 · primary_doc.xml · nonDerivative · entry 1 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,630 F1 · price: The transaction describes the vesting of 4,400 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 2,482 Class A non-voting common shares were converted and 1,918 shares were forfeited. Read SEC document |
| January 28, 2019 Filed Feb 1, 2019 19:28 UTC |
McNAMARA DENNIS PSecretary
|
OtherRestricted Class A non-voting common stock · Derivative | 2,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-19-000001 · primary_doc.xml · derivative · entry 2 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,881 Underlying: Class A non-voting common stock · 1,333 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,333 Class A non-voting common shares were converted and 867 shares were forfeited. F1 · price: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,333 Class A non-voting common shares were converted and 867 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,333 Class A non-voting common shares were converted and 867 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,333 Class A non-voting common shares were converted and 867 shares were forfeited. Read SEC document |
| January 28, 2019 Filed Feb 1, 2019 19:28 UTC |
McNAMARA DENNIS PSecretary
|
OtherClass A non-voting common stock | 1,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001395774-19-000001 · primary_doc.xml · nonDerivative · entry 1 McNAMARA DENNIS P · CIK 0001395774 · Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,404 F1 · price: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,333 Class A non-voting common shares were converted and 867 shares were forfeited. Read SEC document |
| January 28, 2019 Filed Feb 1, 2019 19:18 UTC | OtherRestricted Class A non-voting common stock · Derivative | 2,200 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-19-000001 · primary_doc.xml · derivative · entry 3 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,881 Underlying: Class A non-voting common stock · 1,239 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,239 Class A non-voting common shares were converted and 961 shares were forfeited. F1 · price: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,239 Class A non-voting common shares were converted and 961 shares were forfeited. F1 · derivative.exercise_date: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,239 Class A non-voting common shares were converted and 961 shares were forfeited. F1 · derivative.expiration_date: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,239 Class A non-voting common shares were converted and 961 shares were forfeited. Read SEC document |
|
| January 28, 2019 Filed Feb 1, 2019 19:18 UTC | OtherClass A non-voting common stock | 1,239 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001520798-19-000001 · primary_doc.xml · nonDerivative · entry 1 ALFANO JEFFREY J · CIK 0001520798 · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,100 F1 · price: The transaction describes the vesting of 2,200 shares of Restricted Class A non-voting common stock which were awarded on January 29, 2014 of which 1,239 Class A non-voting common shares were converted and 961 shares were forfeited. Read SEC document |
|
| December 11, 2018 Filed Feb 1, 2019 20:41 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass B voting common stock | 32 | $28.51 | $912.32 |
DisclosureSEC source: 0001041339-19-000001 · primary_doc.xml · nonDerivative · entry 5 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Phase II Financial Inc. Disclosed balance after: 96,121 F2 · ownership.nature: Phase II Financial Inc. is a Delaware corporation controlled by Mr. Lowenthal who is its president. Read SEC document |
| November 23, 2018 Filed Feb 1, 2019 19:42 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 14.22 | $28.24 | $401.57 |
DisclosureSEC source: 0001594628-19-000001 · primary_doc.xml · nonDerivative · entry 4 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,659 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| November 23, 2018 Filed Feb 1, 2019 20:41 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 55.52 | $28.24 | $1,567.88 |
DisclosureSEC source: 0001041339-19-000001 · primary_doc.xml · nonDerivative · entry 4 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,284 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| August 24, 2018 Filed Feb 1, 2019 19:42 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 11.78 | $33.25 | $391.69 |
DisclosureSEC source: 0001594628-19-000001 · primary_doc.xml · nonDerivative · entry 3 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,645 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| August 24, 2018 Filed Feb 1, 2019 20:41 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 45.98 | $33.25 | $1,528.84 |
DisclosureSEC source: 0001041339-19-000001 · primary_doc.xml · nonDerivative · entry 3 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,228 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| May 25, 2018 Filed Feb 1, 2019 19:42 UTC |
Lowenthal Robert SDirector
|
PurchaseClass A non-voting common stock | 13.7 | $29.05 | $397.99 |
DisclosureSEC source: 0001594628-19-000001 · primary_doc.xml · nonDerivative · entry 2 Lowenthal Robert S · CIK 0001594628 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 3,633 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| May 25, 2018 Filed Feb 1, 2019 20:41 UTC |
LOWENTHAL ALBERT GDirector · CEO · 10% owner
|
PurchaseClass A non-voting common stock | 53.46 | $29.05 | $1,553.01 |
DisclosureSEC source: 0001041339-19-000001 · primary_doc.xml · nonDerivative · entry 2 LOWENTHAL ALBERT G · CIK 0001041339 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Held in the Oppenheimer & Co. Inc. 401k Plan Disclosed balance after: 14,183 F1 · kind: The transaction describes an automatic dividend reinvestment program in the Reporting Owner's Oppenheimer & Co. Inc. 401k Plan. Read SEC document |
| May 14, 2018 Filed May 15, 2018 17:27 UTC |
ROBERTS ELAINE KELLSDirector
|
OtherRestricted Class A non-voting stock · Derivative | 7,625 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-18-000003 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A non-voting common stock · 7,625 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of 7,625 shares of Restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan into shares of Class A non-voting common stock upon the expiration of the term of the Reporting Person as a director of the Issuer on May 14, 2018. F1 · price: The transaction describes the vesting of 7,625 shares of Restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan into shares of Class A non-voting common stock upon the expiration of the term of the Reporting Person as a director of the Issuer on May 14, 2018. F1 · derivative.exercise_date: The transaction describes the vesting of 7,625 shares of Restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan into shares of Class A non-voting common stock upon the expiration of the term of the Reporting Person as a director of the Issuer on May 14, 2018. F1 · derivative.expiration_date: The transaction describes the vesting of 7,625 shares of Restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan into shares of Class A non-voting common stock upon the expiration of the term of the Reporting Person as a director of the Issuer on May 14, 2018. Read SEC document |
| May 14, 2018 Filed May 15, 2018 17:27 UTC |
ROBERTS ELAINE KELLSDirector
|
OtherClass A non-voting common stock | 7,625 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-18-000003 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,542 F1 · price: The transaction describes the vesting of 7,625 shares of Restricted Class A non-voting common stock granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan into shares of Class A non-voting common stock upon the expiration of the term of the Reporting Person as a director of the Issuer on May 14, 2018. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 15:44 UTC |
BEHRENS EVANDirector
|
GrantClass A non-voting common stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001481324-18-000001 · primary_doc.xml · nonDerivative · entry 1 BEHRENS EVAN · CIK 0001481324 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 15:40 UTC |
Friedman Paul MDirector
|
GrantClass A non-voting common stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001648181-18-000001 · primary_doc.xml · nonDerivative · entry 1 Friedman Paul M · CIK 0001648181 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 15:36 UTC |
OUGHTRED A WINNDirector
|
GrantClass A non-voting common stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001249033-18-000001 · primary_doc.xml · nonDerivative · entry 1 OUGHTRED A WINN · CIK 0001249033 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,650 F1 · shares: Represents a restricted stock award granted under the Oppenheimer Holdings Inc. 2014 Incentive Plan Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.