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
$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 · Page 5 of 8
79 filingsInsider 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 |
|---|---|---|---|---|---|
| 2013-11-27 | STIFEL FINANCIAL CORP (SFN) Delisted | Mixed | −8,572 | -$269.7K | EDGAR |
| 2013-11-18 | HPF | Buy (P) | +54 | $984 | EDGAR |
| 2013-11-18 | HPI | Buy (P) | +53 | $973 | EDGAR |
| 2013-11-18 | JHI | Buy (P) | +52 | $979 | EDGAR |
| 2013-11-18 | HPS | Buy (P) | +61 | $980 | EDGAR |
| 2013-09-18 | STIFEL FINANCIAL CORP (SFN) Delisted | Sell (S) | −8,000 | -$340.1K | EDGAR |
| 2013-08-07 | STIFEL FINANCIAL CORP (SFN) Delisted | Grant (A) | — | $0 | EDGAR |
| 2013-06-12 | STIFEL FINANCIAL CORP (SFN) Delisted | Grant (A) | — | $0 | EDGAR |
| 2013-03-18 | STIFEL FINANCIAL CORP (SFN) Delisted | Grant (A) | — | $0 | EDGAR |
| 2013-01-25 | STIFEL FINANCIAL CORP (SFN) Delisted | Exer (M) | +3,591 | $0 | EDGAR |
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.
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.