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.
Charts
Trading activity, where the exposure sits, and each trade against the stock price.
SF price and trades
Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.
Shares held
Shares owned after each reported transaction on this company (direct holdings as reported).
Open-market buying and selling
by monthDollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.
Exposure by company
latestMost recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.
Filer Profile
200 CLARENDON ST
BOSTON, MA 02116
Holdings By Company
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| SF | Director | 7,494 | $67.31 | $504.4K | -$8.26M | 47 | 2021-06-03 |
| Virtus Total Return Fund Inc. (ZF) Delisted | Director | 0 | — | — | -$67.9K | 1 | 2018-04-13 |
| VGI | Director | 0 | $6.62 | $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 | $6.51 | $19.5K | $33.8K | 1 | 2017-01-11 |
| STIFEL FINANCIAL CORP (SFN) Delisted | Director | 38,577 | — | — | -$609.8K | 11 | 2016-06-17 |
| HPI | 739 | $13.26 | $9.8K | $3.0K | 2 | 2014-02-10 | |
| JHS | 923 | $10.33 | $9.5K | $2.0K | 1 | 2014-02-10 | |
| HPS | 842 | $11.62 | $9.8K | $3.0K | 2 | 2014-02-10 | |
| HPF | 731 | $12.81 | $9.4K | $3.0K | 2 | 2014-02-10 | |
| JHI | 706 | $11.78 | $8.3K | $3.0K | 2 | 2014-02-10 | |
| PDT | 1,104 | $11.84 | $13.1K | $2.0K | 1 | 2014-02-10 | |
| SFB | Director | 50,573 | $17.89 | $904.5K | -$754.0K | 1 | 2012-02-22 |
| Virtus Total Return Fund (DCA) Delisted | Director | 5,100 | — | — | $34.5K | 1 | 2012-01-30 |
Recent Filings · Page 6 of 8
79 filings| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2012-02-22 | SFB | Sell (S) | −19,434 | -$754.0K | EDGAR |
| 2012-01-30 | Virtus Total Return Fund (DCA) Delisted | Buy (P) | +10,000 | $34.5K | EDGAR |
| 2012-01-19 | SF | Exer (M) | +3,984 | $0 | EDGAR |
| 2011-06-03 | SF | Grant (A) | — | $0 | EDGAR |
| 2011-05-20 | SF | Sell (S) | −10,000 | -$401.0K | EDGAR |
| 2011-03-16 | SF | Exer (M) | +300 | $7.7K | EDGAR |
| 2011-02-22 | SF | Sell (S) | −5,821 | -$430.3K | EDGAR |
| 2011-01-20 | SF | Exer (M) | +3,147 | $0 | EDGAR |
| 2010-08-30 | SF | Sell (S) | −11,000 | -$500.9K | EDGAR |
| 2010-04-27 | SF | Grant (A) | — | $0 | EDGAR |
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.