JAMES M OATES
CIK 1180238 · last filed 2021-06-03
"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
$6.59M
Companies
17
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 |
|---|---|---|---|---|---|---|---|
| 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 · Page 2 of 8
79 filingsForm 4 transactions across all companies, newest first.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2019-05-10 | SFpB | Sell (S) | −20,000 | -$1.17M | EDGAR |
| 2019-01-04 | STIFEL FINANCIAL CORP (SFpA) Delisted | Exer (M) | +4,179 | $0 | EDGAR |
| 2018-09-27 | STIFEL FINANCIAL CORP (SFpA) Delisted | Grant (A) | — | $0 | EDGAR |
| 2018-08-07 | STIFEL FINANCIAL CORP (SFpA) Delisted | Other (J) | — | $0 | EDGAR |
| 2018-06-08 | STIFEL FINANCIAL CORP (SFpA) Delisted | Mixed | +1,900 | $0 | EDGAR |
| 2018-04-13 | Virtus Total Return Fund Inc. (ZF) Delisted | Sell (S) | −5,630 | -$67.9K | EDGAR |
| 2018-04-13 | VGI | Sell (S) | −1,586 | -$26.7K | EDGAR |
| 2018-01-03 | STIFEL FINANCIAL CORP (SFpA) Delisted | Exer (M) | +4,246 | $0 | EDGAR |
| 2017-11-14 | STIFEL FINANCIAL CORP (SFpA) Delisted | Sell (S) | −1,768 | -$92.4K | EDGAR |
| 2017-08-02 | Duff & Phelps Select MLP & Midstream Energy Fund Inc. (DSE) Delisted | Sell (S) | −2,000 | -$14.4K | EDGAR |
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.