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JAMES M OATES

CIK 1180238 · last filed 2021-06-03

JAMES M OATES is a corporate insider who has filed 79 SEC Form 4 insider transactions across 14 companies since 2007. The most recent filing shows the insider sold $1.4M of SF on Jun 3, 2021. Across all open-market trades the lifetime net is −$9.6M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $1.7M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

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Disclosed Exposure

$1.72M

Companies

14

Total Filings

79

Lifetime Open-Market Net

-$9.56M

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
SF Director 7,494 $84.64 $634.3K -$8.26M 47 2021-06-03
Virtus Total Return Fund Inc. (ZF) Delisted Director 0 — — -$67.9K 1 2018-04-13
VGI Director 0 $7.23 $0 -$26.7K 1 2018-04-13
Duff & Phelps Select MLP & Midstream Energy Fund Inc. (DSE) Delisted Director 1,440 $9.49 $13.7K $77.0K 5 2017-08-02
ZTR Director 3,000 $6.81 $20.4K $33.8K 1 2017-01-11
STIFEL FINANCIAL CORP (SFN) Delisted Director 38,577 — — -$609.8K 11 2016-06-17
HPI 739 $16.07 $11.9K $3.0K 2 2014-02-10
JHS 923 $10.89 $10.1K $2.0K 1 2014-02-10
HPS 842 $14.19 $12.0K $3.0K 2 2014-02-10
HPF 731 $15.80 $11.6K $3.0K 2 2014-02-10
JHI 706 $13.08 $9.2K $3.0K 2 2014-02-10
PDT 1,104 $12.95 $14.3K $2.0K 1 2014-02-10
SFB Director 50,573 $19.65 $993.8K -$754.0K 1 2012-02-22
Virtus Total Return Fund (DCA) Delisted Director 5,100 — — $34.5K 1 2012-01-30

Recent Filings

79 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2021-06-03 SF Sell (S) −20,000 -$1.37M EDGAR
2021-05-28 SF Exer (M) +22,154 $0 EDGAR
2021-02-24 SF Sell (S) −10,000 -$606.3K EDGAR
2021-01-14 SF Exer (M) +6,004 $0 EDGAR
2020-11-10 SF Sell (S) −9,000 -$613.3K EDGAR
2020-06-09 SF Exer (M) +1,900 $0 EDGAR
2020-06-02 SF Grant (A) — $0 EDGAR
2020-01-06 SF Exer (M) +4,076 $0 EDGAR
2019-12-23 SF Sell (S) −10,000 -$619.9K EDGAR
2019-06-07 SF Mixed +1,900 $0 EDGAR
Showing 1–10 of 79
Page 1 of 8
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.