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 17 companies since 2007. The most recent filing shows the insider sold $1.4M of SFpC 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 $6.6M 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.
$6.59M
17
79
-$9.56M
Holdings By Company
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| SFpC | Director | 4,996 | $22.09 | $110.4K | -$2.59M | 7 | 2021-06-03 |
| SFpB | Director | 13,511 | $23.09 | $312.0K | -$1.79M | 4 | 2020-01-06 |
| STIFEL FINANCIAL CORP (SFpA) Delisted | Director | 36,965 | $25.28 | $934.5K | -$595.5K | 10 | 2019-01-04 |
| Virtus Total Return Fund Inc. (ZF) Delisted | Director | 0 | — | — | -$67.9K | 1 | 2018-04-13 |
| VGI | Director | 0 | $7.43 | $0 | -$26.7K | 1 | 2018-04-13 |
| Duff & Phelps Select MLP & Midstream Energy Fund Inc. (DSE) Delisted | Director | 14,395 | $9.49 | $136.6K | $77.0K | 5 | 2017-08-02 |
| ZTR | Director | 3,000 | $6.80 | $20.4K | $33.8K | 1 | 2017-01-11 |
| STIFEL FINANCIAL CORP (SFN) Delisted | Director | 38,577 | — | — | -$609.8K | 11 | 2016-06-17 |
| HPI | 739 | $15.99 | $11.8K | $3.0K | 2 | 2014-02-10 | |
| JHS | 923 | $10.87 | $10.0K | $2.0K | 1 | 2014-02-10 | |
| HPS | 842 | $14.34 | $12.1K | $3.0K | 2 | 2014-02-10 | |
| HPF | 731 | $15.75 | $11.5K | $3.0K | 2 | 2014-02-10 | |
| JHI | 706 | $13.18 | $9.3K | $3.0K | 2 | 2014-02-10 | |
| PDT | 1,104 | $12.80 | $14.1K | $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 |
| SF | Director | 70,007 | $72.66 | $5.09M | -$3.28M | 26 | 2012-01-19 |
Recent Filings
79 filings| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2021-06-03 | SFpC | Sell (S) | −20,000 | -$1.37M | EDGAR |
| 2021-05-28 | SFpC | Exer (M) | +22,154 | $0 | EDGAR |
| 2021-02-24 | SFpC | Sell (S) | −10,000 | -$606.3K | EDGAR |
| 2021-01-14 | SFpC | Exer (M) | +6,004 | $0 | EDGAR |
| 2020-11-10 | SFpC | Sell (S) | −9,000 | -$613.3K | EDGAR |
| 2020-06-09 | SFpC | Exer (M) | +1,900 | $0 | EDGAR |
| 2020-06-02 | SFpC | Grant (A) | — | $0 | EDGAR |
| 2020-01-06 | SFpB | Exer (M) | +4,076 | $0 | EDGAR |
| 2019-12-23 | SFpB | Sell (S) | −10,000 | -$619.9K | EDGAR |
| 2019-06-07 | SFpB | Mixed | +1,900 | $0 | EDGAR |