Oates James M - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
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	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
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
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
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
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
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
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
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
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
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
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
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
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
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
2/18/09 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
1/26/04 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

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

TC

Stat

Stk

Ins

Fil

+d

+w

+m

+q

+h

+y

avg

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