Oates James M - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	10	1	16	-1	-1	1	8	18	24	8
P	%wins				81	56	69	88	93	92	80
S	%ret	1	1	10	-1	-1	-0	-2	3	7	1
S	%wins				80	80	50	40	63	50	60

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
6/3/21 17:35	6/2/21	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		S	-1,373	68.64	0	-20	-80	5	D
5/28/21 15:59	5/26/21	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		M.d	0	0.00	0	22	780	25	D
2/24/21 16:37	2/22/21	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		S	-606	60.63	0	-10	-78	3	D
1/14/21 16:46	1/12/21	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		M.d	0	0.00	0	6	88	13	D
11/10/20 16:54	11/9/20	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		S	-613	68.14	0	-9	-67	4	D
6/9/20 16:16	6/5/20	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		M.d	0	0.00	0	2	16	13	D
1/6/20 16:56	1/2/20	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		M.d	0	0.00	0	4	43	14	D
12/23/19 16:39	12/20/19	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		S	-620	61.99	0	-10	-51	9	D
6/7/19 16:43	6/6/19	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		M.d	0	0.00	0	2	11	19	D
5/10/19 16:28	5/9/19	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		S	-1,172	58.61	0	-20	-53	17	D
1/4/19 16:29	1/2/19	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	MO	D		M.d	0	0.00	0	4	13	37	D
6/8/18 16:07	6/7/18	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	0	2	6	33	D
4/13/18 11:26	7/17/17	VGI	Virtus Global Multi-Sector Income Fund		Fund	CEF	Closed-End Funds	Oates James M	CT	D		S	-27	16.81	0	-2	-100	0	D
4/13/18 11:26	7/17/17	ZF	Virtus Total Return Fund Inc.	MD	Fund	CEF	Closed-End Funds	Oates James M	CT	D		S	-68	12.06	0	-6	-100	0	D
1/3/18 17:11	12/29/17	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	0	4	15	33	D
11/14/17 15:38	11/10/17	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S	-92	52.27	0	-2	-6	29	D
8/2/17 15:28	7/31/17	DSE	Duff & Phelps Select Energy Mlp Fund Inc.		Fund	CEF	Closed-End Funds	Oates James M	CT	D		S	-14	7.22	0	-2	-12	14	D
1/11/17 17:25	1/11/17	ZTR	Virtus Global Dividend & Income Fund Inc.		Fund	CEF	Closed-End Funds	Oates James M	CT	D		P	34	11.26	1	3	New	3	D	3	13	3	2	8	3	0	-1	0	0	2	10
1/4/17 17:18	12/30/16	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	20	4	14	30	M	-1	20	71	30	-1	-2	-4	-1	-2	-1	1	-4
12/5/16 16:30	12/5/16	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-252	50.42	26	-5	-16	27	D	-1	12	30	27	29	9	-2	1	1	4	2	5
11/23/16 14:09	11/22/16	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-251	50.20	28	-5	-13	34	D	9	14	36	34	30	32	11	2	0	-2	1	6
6/7/16 10:33	6/6/16	DSE	Duff & Phelps Select Energy Mlp Fund Inc.		Fund	CEF	Closed-End Funds	Oates James M	CT	D		P	16	8.15	1	2	16	15	D		-29	33	55	25	13	6	9	1	-9	-6	-4	-3
5/17/16 15:57	5/16/16	DSE	Duff & Phelps Select Energy Mlp Fund Inc.		Fund	CEF	Closed-End Funds	Oates James M	CT	D		P	63	7.26	1	9	219	13	D		-44	4	102	50	9	-6	2	0	6	3	14	7
1/26/16 15:40	1/22/16	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	27	4	10	41	D	-36	-34	-42	-24	-26	-23	-9	-6	3	4	-17	5	7	54
12/7/15 11:34	12/4/15	DSE	Duff & Phelps Select Energy Mlp Fund Inc.		Fund	CEF	Closed-End Funds	Oates James M	CT	D		P	13	6.28	1	2	117	4	D		-54	-49	-36	-21	-22	-15	-13	-10	-14	-9	-14	43	34
1/23/15 15:08	1/22/15	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	33	4	11	38	D	38	-2	7	9	-3	-4	1	4	-1	-2	6	10	15	-31
2/10/14 17:19	2/10/14	JHI	John Hancock Investors Trust	DE	Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	2	19.97	0	0	16	1	D	4	-3	6	7	7	1	3	3	1	-1	10	3	0	-5
2/10/14 17:04	2/10/14	HPF	John Hancock Preferred Income Fund II		Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	2	18.88	1	0	17	1	D	1	-10	1	2	2	2	2	1	0	1	3	13	11	23
2/10/14 16:22	2/10/14	HPI	John Hancock Preferred Income Fund		Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	2	18.95	2	0	17	1	D	-2	-12	2	2	3	2	2	1	0	1	3	12	9	21
2/10/14 16:10	2/10/14	HPS	John Hancock Preferred Income Fund III		Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	2	16.82	2	0	16	1	D	8	-7	1	3	4	3	3	2	0	1	1	10	8	19
2/10/14 15:59	2/10/14	PDT	John Hancock Premium Dividend Fund	MA	Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	2	12.22	2	0	17	1	D	4	-5	0	3	4	2	2	0	1	2	5	13	13	27
2/10/14 15:02	2/10/14	JHS	John Hancock Income Securities Trust	MA	Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	2	14.53	0	0	17	1	D	8	-7	6	3	1	0	1	0	0	0	1	3	3	5
1/27/14 14:32	1/24/14	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	16	4	13	34	D	27	33	25	16	6	0	-3	-5	-4	-4	1	-4	-3	4
11/27/13 15:37	11/26/13	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-270	44.95	19	-6	-16	30	D	55	47	24	13	13	8	4	0	0	-1	4	6	0	7
11/18/13 14:37	11/18/13	JHI	John Hancock Investors Trust	DE	Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	1	18.83	0	0	10	1	D	0	1	-14	-1	0	-3	-3	-1	0	-1	0	9	12	8
11/18/13 14:19	11/18/13	HPF	John Hancock Preferred Income Fund II		Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	1	18.23	1	0	10	1	D	2	-4	-19	4	-2	-3	-2	-1	-1	-1	-3	7	19	22
11/18/13 14:03	11/18/13	HPI	John Hancock Preferred Income Fund		Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	1	18.35	2	0	9	1	D	0	-4	-20	4	-2	-2	-3	0	0	-1	-4	7	18	23
11/18/13 13:43	11/18/13	HPS	John Hancock Preferred Income Fund III		Fund	CEF	Closed-End Funds	Oates James M	MA	H	Trustee	P	1	16.06	1	0	9	1	D	8	-3	-17	3	-1	-2	-3	-1	-1	-2	-4	7	17	21
9/18/13 15:32	9/17/13	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-340	42.51	18	-8	-17	39	D	47	20	18	19	12	9	4	2	-1	-2	-6	6	15	13
1/25/13 16:55	1/24/13	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	14	4	7	54	D	-16	-4	22	9	13	7	3	2	1	2	4	-11	5	31
2/22/12 16:47	2/21/12	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-754	38.80	17	-19	-28	51	D	6	-21	44	24	17	8	4	8	1	-1	-1	-17	-17	0
1/30/12 13:36	1/26/12	DCA	Dividend Capital Realty Income Allocation Fund		Fund	CEF	Closed-End Funds	Oates James M	CT	D		P	34	3.45	0	10	New	10	D	79	5	-6	2	5	-1	1	1	0	2	8	13	13	25
1/19/12 15:20	1/17/12	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	11	4	6	70	D	-6	-20	-9	16	6	4	1	2	7	7	18	6	-8	4
5/20/11 10:07	5/18/11	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-401	40.10	17	-10	-13	66	D	45	18	16	-18	-16	-12	-6	1	-1	-4	-12	-32	-24	-23
3/16/11 16:31	3/14/11	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	8	25.50	33	0	1	51	D	102	26	43	18	6	0	-5	-3	2	5	0	-19	-38	-19
2/22/11 14:38	2/18/11	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-430	73.93	33	-6	-10	53	D	118	34	62	39	18	15	13	3	-3	-3	-3	-19	-45	-21
1/20/11 15:28	1/19/11	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	21	3	5	61	D	90	16	40	34	7	-1	0	-4	1	6	19	8	-10	-13
8/30/10 15:37	8/27/10	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-501	45.54	19	-11	-16	57	D	16	-16	-17	-9	3	-2	0	2	-4	4	5	16	56	-5
3/19/10 09:35	3/17/10	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-550	54.97	17	-10	-13	68	D	86	46	1	-1	12	2	0	1	0	-2	-2	-19	-12	26
2/10/10 09:55	2/8/10	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	12	19.49	18	1	1	69	D	84	32	-1	-2	-14	-6	-3	1	7	8	11	10	-12	30
1/21/10 14:18	1/20/10	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	19	5	7	68	D	100	63	6	-5	-2	-9	-3	-2	-1	0	4	2	-17	16
6/26/09 16:34	6/26/09	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	23	17.74	21	1	2	64	D	14	21	5	5	7	-1	3	4	3	0	8	16	26	0
2/18/09 11:03	2/17/09	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		S.d	-1,402	35.06	22	-40	-36	72	b									-4	0	9	26	48	56
1/21/09 12:15	1/20/09	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	30	5	5	112	b									6	7	3	50	54	63
2/13/08 14:20	2/12/08	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	10	13.73	20	1	1	71	M	27	3	-15	2	-9	14	7	12	0	2	-12	9	28	14
1/15/08 16:59	1/11/08	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	17	3	4	70	D	8	-10	-28	-30	-8	-19	-13	2	7	0	18	9	28	44
2/13/07 10:28	2/12/07	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	20	16.51	6	1	2	67	D	121	24	48	28	16	2	-4	-2	1	10	-10	1	21	3
1/23/07 15:09	1/19/07	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	5	3	5	66	D	128	21	42	36	18	15	7	0	-1	2	12	4	25	-13
4/12/06 16:43	4/11/06	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	48	9.21	6	5	9	63	b									0	4	2	-16	-19	18
2/13/06 14:13	2/13/06	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	0	0.00	3	0	1	58	b									1	2	3	5	-16	26
2/6/04 14:28	2/5/04	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		M.d	60	10.83	1	6	12	51	D	125	114	103	71	31	24	16	13	3	-3	17	-6	-4	13
1/26/04 17:08	1/26/04	IFIN	Investors Financial Services Corp	DE	Financ	InvAdv	Investment Advice	Oates James M	MA	D		S	-630	41.99	0	-15	-30	35	D
8/14/03 10:37	8/13/03	SF	Stifel Financial Corp	DE	Financ	FinTrd	Security Brokers, Dealers & F	Oates James M	NH	D		P.d	9	12.50	0	1	2	46	I	3	4	5	0	-1	2	3	-2	0	1	7	23	94	88

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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