OATES JAMES M

CIK 000118023817 companiesELKINS, NH

SEC Profile

Transactions

Companies

Filings

CIK

0001180238

Recent Transactions

50 trades

Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2021-06-02$68.64/sh−20,000→ 4,996 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2021-05-26+22,154→ 24,996 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2021-05-26−22,154→ 0 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2021-02-22$60.63/sh−10,000→ 2,842 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2021-01-12−6,004→ 22,184 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2021-01-12+6,004→ 12,842 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2020-11-09$68.14/sh−9,000→ 4,463 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2020-06-05+1,900→ 13,463 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2020-06-05−1,900→ 18,792 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2020-05-29+2,096→ 20,692 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2020-01-02−4,076→ 18,596 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2020-01-02+4,076→ 13,511 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2019-12-20$61.99/sh−10,000→ 9,435 total
Gift
STIFEL FINANCIAL CORP$SF
Common Stock
2019-11-21−2,000→ 11,511 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2019-06-06+1,900→ 19,297 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2019-06-06−1,900→ 22,672 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2019-06-05+1,900→ 24,572 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2019-05-09$58.61/sh−20,000→ 17,397 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2019-01-02+4,179→ 36,965 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2019-01-02−4,179→ 22,672 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2018-09-25+1,900→ 26,851 total
Other
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2018-08-07−1,900→ 24,951 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2018-06-07−1,900→ 26,851 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2018-06-07+1,900→ 32,786 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2018-06-06+1,900→ 28,751 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2017-12-29−4,246→ 26,851 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2017-12-29+4,246→ 32,886 total
Gift
STIFEL FINANCIAL CORP$SF
Common Stock
2017-11-16−2,000→ 26,640 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2017-11-10$52.27/sh−1,768→ 28,640 total
Sale
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
Common Stock
2017-07-31$7.22/sh−2,000→ 14,395 total
Sale
Virtus Global Multi-Sector Income Fund$VGI
Common Stock
2017-07-17$16.81/sh−1,586→ 0 total
Sale
Virtus Total Return Fund Inc.
Common Stock
2017-07-17$12.06/sh−5,630→ 0 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2017-06-07+1,900→ 31,097 total
Purchase
Virtus Total Return Fund Inc.$ZTR
Common Stock
2017-01-11$11.26/sh+3,000→ 3,000 total
Gift
STIFEL FINANCIAL CORP$SF
Common Stock
2016-12-30+573→ 30,345 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2016-12-30+3,768→ 29,772 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2016-12-30−3,768→ 29,197 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2016-12-05$50.42/sh−5,000→ 28,004 total
Gift
STIFEL FINANCIAL CORP$SF
Common Stock
2016-12-05−2,000→ 26,004 total
Sale
STIFEL FINANCIAL CORP$SF
Common Stock
2016-11-22$50.20/sh−5,000→ 33,004 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2016-06-15+3,750→ 32,528 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2016-06-15+437→ 32,965 total
Purchase
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
Common Stock
2016-06-06$8.15/sh+2,000→ 14,552 total
Purchase
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
Common Stock
2016-05-16$7.26/sh+8,616→ 12,552 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2016-01-22−3,778→ 28,778 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2016-01-22+3,778→ 40,004 total
Purchase
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
Common Stock
2015-12-04$6.28/sh+2,000→ 3,712 total
Gift
STIFEL FINANCIAL CORP$SF
Common Stock
2015-07-22−2,000→ 34,226 total
Award
STIFEL FINANCIAL CORP$SF
Phantom Stock Units
2015-06-10+4,003→ 32,556 total
Exercise/Conversion
STIFEL FINANCIAL CORP$SF
Common Stock
2015-01-22+3,859→ 37,726 total

Companies

Recent Filings

Address

534 LAKE SHORE ROAD P.O. BOX 250

ELKINS, NH, 03233

View on SEC.gov