Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OPPENHEIMER HOLDINGS INCOPY · Entity 4793 | Director | May 14, 2018 | May 15, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OPPENHEIMER HOLDINGS INC
Report date May 14, 2018 · Filed May 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A non-voting common stockSEC Table I · non-derivative | Direct | 19,542 |
Reported balance
After 2018-05-14 transaction · row 1
1 source rowRow 1 · 2018-05-14 · Other · Acquired 7,625 · Balance 19,542 F1: 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. |
| Restricted Class A non-voting stockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-05-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-05-14 · Other · Disposed 7,625 · Balance 0 F1: 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. |
| Class A non-voting common stockSEC Table I · non-derivative | IndirectE.K.Roberts Holdco Inc. | 207,465 |
Reported balance
Holding disclosure · report date 2018-05-14 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 207,465 F2: E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person. |
| Class B voting common stockSEC Table I · non-derivative | Direct | 120 |
Reported balance
Holding disclosure · report date 2018-05-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 120 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 14, 2018 Filed May 15, 2018 17:27 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | 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 | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | 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 15:07 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 2,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-18-000002 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,625 Underlying: Class A non-voting common stock · 2,500 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the award of Restricted Class A non voting common stock granted on 3/1/2018 which vests 25% on each of 9/1/2018, 9/1/2019, 9/1/2020, and 9/1/2021. F1 · price: The transaction describes the award of Restricted Class A non voting common stock granted on 3/1/2018 which vests 25% on each of 9/1/2018, 9/1/2019, 9/1/2020, and 9/1/2021. F1 · derivative.exercise_date: The transaction describes the award of Restricted Class A non voting common stock granted on 3/1/2018 which vests 25% on each of 9/1/2018, 9/1/2019, 9/1/2020, and 9/1/2021. F1 · derivative.expiration_date: The transaction describes the award of Restricted Class A non voting common stock granted on 3/1/2018 which vests 25% on each of 9/1/2018, 9/1/2019, 9/1/2020, and 9/1/2021. Read SEC document |
| February 26, 2018 Filed Feb 26, 2018 20:22 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 1,900 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-18-000001 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,025 Underlying: Class A non-voting common stock · 1,900 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the vesting of a restricted stock award granted on 2/25/2009. F1 · price: The transaction describes the vesting of a restricted stock award granted on 2/25/2009. F1 · derivative.exercise_date: The transaction describes the vesting of a restricted stock award granted on 2/25/2009. F1 · derivative.expiration_date: The transaction describes the vesting of a restricted stock award granted on 2/25/2009. Read SEC document |
| February 26, 2018 Filed Feb 26, 2018 20:22 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 1,900 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-18-000001 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,917 F1 · price: The transaction describes the vesting of a restricted stock award granted on 2/25/2009. Read SEC document |
| August 22, 2017 Filed Aug 22, 2017 14:23 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000009 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,840 Underlying: Class A non-voting common stock · 875 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of a restricted stock award granted on 2/23/2017. F1 · price: The transaction describes the partial vesting of a restricted stock award granted on 2/23/2017. F1 · derivative.exercise_date: The transaction describes the partial vesting of a restricted stock award granted on 2/23/2017. F1 · derivative.expiration_date: The transaction describes the partial vesting of a restricted stock award granted on 2/23/2017. Read SEC document |
| August 22, 2017 Filed Aug 22, 2017 14:23 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 875 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000009 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,017 F1 · price: The transaction describes the partial vesting of a restricted stock award granted on 2/23/2017. Read SEC document |
| July 27, 2017 Filed Jul 28, 2017 12:42 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000008 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,715 Underlying: Class A non-voting common stock · 1,000 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of restricted stock awards granted on 1/28/1016. F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/28/1016. F1 · derivative.exercise_date: The transaction describes the partial vesting of restricted stock awards granted on 1/28/1016. F1 · derivative.expiration_date: The transaction describes the partial vesting of restricted stock awards granted on 1/28/1016. Read SEC document |
| July 27, 2017 Filed Jul 28, 2017 12:42 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000008 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE KELLS · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · E.K.Roberts Holdco Inc. Disclosed balance after: 9,142 F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/28/1016. F2 · ownership.nature: E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:40 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000006 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,715 Underlying: Class A non-voting common stock · 1,000 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of restricted stock awards granted on 1/2/2014 and 1/28/2015. F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/2/2014 and 1/28/2015. F1 · derivative.exercise_date: The transaction describes the partial vesting of restricted stock awards granted on 1/2/2014 and 1/28/2015. F1 · derivative.expiration_date: The transaction describes the partial vesting of restricted stock awards granted on 1/2/2014 and 1/28/2015. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:40 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000006 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,142 F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/2/2014 and 1/28/2015. Read SEC document |
| February 24, 2017 Filed Feb 27, 2017 18:55 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 2,032 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000004 · primary_doc.xml · derivative · entry 3 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,715 Underlying: Class A non-voting common stock · 2,032 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of restricted stock awards granted on 2/25/2009. F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 2/25/2009. F1 · derivative.exercise_date: The transaction describes the partial vesting of restricted stock awards granted on 2/25/2009. F1 · derivative.expiration_date: The transaction describes the partial vesting of restricted stock awards granted on 2/25/2009. Read SEC document |
| February 24, 2017 Filed Feb 27, 2017 18:55 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 2,032 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000004 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,279 F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 2/25/2009. Read SEC document |
| February 23, 2017 Filed Feb 23, 2017 20:22 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 3,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000003 · primary_doc.xml · derivative · entry 4 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,747 Underlying: Class A non-voting common stock · 3,500 shares Expires not disclosed F2 · derivative.exercise_price: The transaction describes the award of Restricted Stock granted on 2/23/2017 which vests 25% on each of 8/22/2017, 8/22/2018, 8/22/2019 and 8/22/2020. F2 · price: The transaction describes the award of Restricted Stock granted on 2/23/2017 which vests 25% on each of 8/22/2017, 8/22/2018, 8/22/2019 and 8/22/2020. F2 · derivative.exercise_date: The transaction describes the award of Restricted Stock granted on 2/23/2017 which vests 25% on each of 8/22/2017, 8/22/2018, 8/22/2019 and 8/22/2020. F2 · derivative.expiration_date: The transaction describes the award of Restricted Stock granted on 2/23/2017 which vests 25% on each of 8/22/2017, 8/22/2018, 8/22/2019 and 8/22/2020. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 20:22 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 3,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000003 · primary_doc.xml · derivative · entry 3 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,247 Underlying: Class A non-voting common stock · 3,500 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of restricted stock awards granted on 2/23/2012. F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 2/23/2012. F1 · derivative.exercise_date: The transaction describes the partial vesting of restricted stock awards granted on 2/23/2012. F1 · derivative.expiration_date: The transaction describes the partial vesting of restricted stock awards granted on 2/23/2012. Read SEC document |
| February 22, 2017 Filed Feb 23, 2017 20:22 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 3,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000003 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,110 F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 2/23/2012. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 15:07 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Class A non-voting common stock · Derivative | 1,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000002 · primary_doc.xml · derivative · entry 3 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,747 Underlying: Class A non-voting common stock · 1,610 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of restricted stock awards granted on 1/27/2011. F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/27/2011. F1 · derivative.exercise_date: The transaction describes the partial vesting of restricted stock awards granted on 1/27/2011. F1 · derivative.expiration_date: The transaction describes the partial vesting of restricted stock awards granted on 1/27/2011. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 15:07 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 1,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000002 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,610 F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/27/2011. Read SEC document |
| July 27, 2016 Filed Jan 31, 2017 19:24 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherRestricted Claa A non-voting common stock · Derivative | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000001 · primary_doc.xml · derivative · entry 2 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,357 Underlying: Class A non-voting common stock · 1,000 shares Expires not disclosed F1 · derivative.exercise_price: The transaction describes the partial vesting of restricted stock awards granted on 1/28/2016. F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/28/2016. F1 · derivative.exercise_date: The transaction describes the partial vesting of restricted stock awards granted on 1/28/2016. F1 · derivative.expiration_date: The transaction describes the partial vesting of restricted stock awards granted on 1/28/2016. Read SEC document |
| July 27, 2016 Filed Jan 31, 2017 19:24 UTC | OPPENHEIMER HOLDINGS INC OPY · Entity 4793 | OtherClass A non-voting common stock | 1,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001218024-17-000001 · primary_doc.xml · nonDerivative · entry 1 ROBERTS ELAINE K · CIK 0001218024 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · E.K.Roberts Holdco Inc. Disclosed balance after: 207,465 F1 · price: The transaction describes the partial vesting of restricted stock awards granted on 1/28/2016. F2 · ownership.nature: E.K.Roberts Holdco Inc. is an Ontario corporation that is 100% owned by the Reporting Person. 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.