OATES JAMES M
Insider CIK 1180238 · HPI · HPF · HPS · DCA Director · VGI Director · DSE Director · SF Director · JHI · JHS · ZF Director · ZTR Director · PDT
Trades across companies
| Ticker | Code | Trade | Filed | Shares | Price | Value | Owned after | |
|---|---|---|---|---|---|---|---|---|
| SF STIFEL FINANCIAL CORP | S Sale | 2021-06-02 | 2021-06-03 | 20,000 | $68.64 | $1.37M | 4,996 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2021-05-26 | 2021-05-28 | 22,154 | — | $0 | 0 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2021-05-26 | 2021-05-28 | 22,154 | — | $0 | 24,996 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2021-02-22 | 2021-02-24 | 10,000 | $60.63 | $606.3K | 2,842 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2021-01-12 | 2021-01-14 | 6,004 | — | $0 | 22,184 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2021-01-12 | 2021-01-14 | 6,004 | — | $0 | 12,842 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2020-11-09 | 2020-11-10 | 9,000 | $68.14 | $613.3K | 4,463 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2020-06-05 | 2020-06-09 | 1,900 | — | $0 | 18,792 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2020-06-05 | 2020-06-09 | 1,900 | — | $0 | 13,463 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2020-05-29 | 2020-06-02 | 2,096 | — | $0 | 20,692 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2020-01-02 | 2020-01-06 | 4,076 | — | $0 | 18,596 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2020-01-02 | 2020-01-06 | 4,076 | — | $0 | 13,511 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2019-12-20 | 2019-12-23 | 10,000 | $61.99 | $619.9K | 9,435 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2019-06-06 | 2019-06-07 | 1,900 | — | $0 | 22,672 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2019-06-06 | 2019-06-07 | 1,900 | — | $0 | 19,297 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2019-06-05 | 2019-06-07 | 1,900 | — | $0 | 24,572 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2019-05-09 | 2019-05-10 | 20,000 | $58.61 | $1.17M | 17,397 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2019-01-02 | 2019-01-04 | 4,179 | — | $0 | 22,672 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2019-01-02 | 2019-01-04 | 4,179 | — | $0 | 36,965 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2018-09-25 | 2018-09-27 | 1,900 | — | $0 | 26,851 | SEC↗ |
| SF STIFEL FINANCIAL CORP | J Other deriv | 2018-08-07 | 2018-08-07 | 1,900 | — | $0 | 24,951 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2018-06-07 | 2018-06-08 | 1,900 | — | $0 | 26,851 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2018-06-07 | 2018-06-08 | 1,900 | — | $0 | 32,786 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2018-06-06 | 2018-06-08 | 1,900 | — | $0 | 28,751 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2017-12-29 | 2018-01-03 | 4,246 | — | $0 | 26,851 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2017-12-29 | 2018-01-03 | 4,246 | — | $0 | 32,886 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2017-11-10 | 2017-11-14 | 1,768 | $52.27 | $92.4K | 28,640 | SEC↗ |
| DSE Duff & Phelps Select Energ | S Sale | 2017-07-31 | 2017-08-02 | 2,000 | $7.22 | $14.4K | 14,395 | SEC↗ |
| ZF Virtus Total Return Fund I | S Sale | 2017-07-17 | 2018-04-13 | 5,630 | $12.06 | $67.9K | 0 | SEC↗ |
| VGI Virtus Global Multi-Sector | S Sale | 2017-07-17 | 2018-04-13 | 1,586 | $16.81 | $26.7K | 0 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2017-06-07 | 2017-06-09 | 1,900 | — | $0 | 31,097 | SEC↗ |
| ZTR VIRTUS GLOBAL DIVIDEND & I | P Buy | 2017-01-11 | 2017-01-11 | 3,000 | $11.26 | $33.8K | 3,000 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2016-12-30 | 2017-01-04 | 3,768 | — | $0 | 29,197 | SEC↗ |
| SF STIFEL FINANCIAL CORP | G Gift | 2016-12-30 | 2017-01-04 | 573 | — | $0 | 0 | SEC↗ |
| SF STIFEL FINANCIAL CORP | G Gift | 2016-12-30 | 2017-01-04 | 573 | — | $0 | 30,345 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2016-12-30 | 2017-01-04 | 3,768 | — | $0 | 29,772 | SEC↗ |
| SF STIFEL FINANCIAL CORP | G Gift | 2016-12-05 | 2016-12-05 | 2,000 | — | $0 | 26,004 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2016-12-05 | 2016-12-05 | 5,000 | $50.42 | $252.1K | 28,004 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2016-11-22 | 2016-11-23 | 5,000 | $50.20 | $251.0K | 33,004 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2016-06-15 | 2016-06-17 | 3,750 | — | $0 | 32,528 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2016-06-15 | 2016-06-17 | 437 | — | $0 | 32,965 | SEC↗ |
| DSE Duff & Phelps Select Energ | P Buy | 2016-06-06 | 2016-06-07 | 2,000 | $8.15 | $16.3K | 14,552 | SEC↗ |
| DSE Duff & Phelps Select Energ | P Buy | 2016-05-16 | 2016-05-17 | 8,616 | $7.26 | $62.6K | 12,552 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2016-01-22 | 2016-01-26 | 3,778 | — | $0 | 28,778 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2016-01-22 | 2016-01-26 | 3,778 | — | $0 | 40,004 | SEC↗ |
| DSE Duff & Phelps Select Energ | P Buy | 2015-12-04 | 2015-12-07 | 2,000 | $6.28 | $12.6K | 3,712 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2015-06-10 | 2015-06-12 | 4,003 | — | $0 | 32,556 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2015-01-22 | 2015-01-23 | 3,859 | — | $0 | 28,553 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2015-01-22 | 2015-01-23 | 3,859 | — | $0 | 37,726 | SEC↗ |
| DSE Duff & Phelps Select Energ | A Award | 2014-11-04 | 2014-11-05 | 1,500 | $16.50 | $24.8K | 1,500 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2014-06-11 | 2014-06-12 | 4,076 | — | $0 | 32,412 | SEC↗ |
| JHS JOHN HANCOCK INCOME SECURI | P Buy | 2014-02-10 | 2014-02-10 | 136 | $14.53 | $2.0K | 924 | SEC↗ |
| PDT JOHN HANCOCK PREMIUM DIVID | P Buy | 2014-02-10 | 2014-02-10 | 162 | $12.22 | $2.0K | 1,104 | SEC↗ |
| HPS JOHN HANCOCK PREFERRED INC | P Buy | 2014-02-10 | 2014-02-10 | 118 | $16.82 | $2.0K | 842 | SEC↗ |
| HPI JOHN HANCOCK PREFERRED INC | P Buy | 2014-02-10 | 2014-02-10 | 105 | $18.95 | $2.0K | 739 | SEC↗ |
| HPF JOHN HANCOCK PREFERRED INC | P Buy | 2014-02-10 | 2014-02-10 | 105 | $18.88 | $2.0K | 732 | SEC↗ |
| JHI JOHN HANCOCK INVESTORS TRU | P Buy | 2014-02-10 | 2014-02-10 | 100 | $19.97 | $2.0K | 706 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2014-01-24 | 2014-01-27 | 4,059 | — | $0 | 28,336 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2014-01-24 | 2014-01-27 | 4,059 | — | $0 | 33,867 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2013-11-26 | 2013-11-27 | 6,000 | $44.95 | $269.7K | 29,808 | SEC↗ |
| SF STIFEL FINANCIAL CORP | G Gift | 2013-11-25 | 2013-11-27 | 2,572 | — | $0 | 35,808 | SEC↗ |
| HPS JOHN HANCOCK PREFERRED INC | P Buy | 2013-11-18 | 2013-11-18 | 61 | $16.06 | $980 | 708 | SEC↗ |
| HPI JOHN HANCOCK PREFERRED INC | P Buy | 2013-11-18 | 2013-11-18 | 53 | $18.35 | $973 | 620 | SEC↗ |
| HPF JOHN HANCOCK PREFERRED INC | P Buy | 2013-11-18 | 2013-11-18 | 54 | $18.23 | $984 | 613 | SEC↗ |
| JHI JOHN HANCOCK INVESTORS TRU | P Buy | 2013-11-18 | 2013-11-18 | 52 | $18.83 | $979 | 592 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2013-09-17 | 2013-09-18 | 8,000 | $42.51 | $340.1K | 38,380 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2013-08-06 | 2013-08-07 | 8,487 | — | $0 | 32,395 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2013-06-12 | 2013-06-12 | 4,179 | — | $0 | 23,908 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2013-01-24 | 2013-01-25 | 3,591 | — | $0 | 15,483 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2013-01-24 | 2013-01-25 | 3,591 | — | $0 | 53,591 | SEC↗ |
| SF STIFEL FINANCIAL CORP | A Award deriv | 2012-06-06 | 2013-03-18 | 4,246 | — | $0 | 23,320 | SEC↗ |
| SF STIFEL FINANCIAL CORP | S Sale | 2012-02-21 | 2012-02-22 | 19,434 | $38.80 | $754.0K | 50,000 | SEC↗ |
| DCA Virtus Total Return Fund | P Buy | 2012-01-26 | 2012-01-30 | 100 | $3.45 | $345 | 100 | SEC↗ |
| DCA Virtus Total Return Fund | P Buy | 2012-01-26 | 2012-01-30 | 1,400 | $3.45 | $4.8K | 1,500 | SEC↗ |
| DCA Virtus Total Return Fund | P Buy | 2012-01-26 | 2012-01-30 | 4,900 | $3.45 | $16.9K | 10,000 | SEC↗ |
| DCA Virtus Total Return Fund | P Buy | 2012-01-26 | 2012-01-30 | 3,600 | $3.45 | $12.4K | 5,100 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise deriv | 2012-01-17 | 2012-01-19 | 3,984 | — | $0 | 19,074 | SEC↗ |
| SF STIFEL FINANCIAL CORP | M Exercise | 2012-01-17 | 2012-01-19 | 3,984 | — | $0 | 69,434 | SEC↗ |