Insider · CIK 0001180238

OATES JAMES M

Reports to the SEC for 17 companies · ELKINS, NH

sec.gov

Transactions

Companies

Filings

CIK

0001180238

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2021-06-02	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−20K sh	$68.64	−$1.37M	4,996
2021-05-26	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+22.2K sh	—	—	24,996
2021-05-26	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−22.2K sh	—	—	0
2021-02-22	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−10K sh	$60.63	−$606K	2,842
2021-01-12	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+6,004 sh	—	—	12,842
2021-01-12	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−6,004 sh	—	—	22,184
2020-11-09	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−9,000 sh	$68.14	−$613K	4,463
2020-06-05	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+1,900 sh	—	—	13,463
2020-06-05	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−1,900 sh	—	—	18,792
2020-05-29	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+2,096 sh	—	—	20,692
2020-01-02	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+4,076 sh	—	—	13,511
2020-01-02	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,076 sh	—	—	18,596
2019-12-20	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−10K sh	$61.99	−$620K	9,435
2019-11-21	SFSTIFEL FINANCIAL CORPG Gift	Director	GGift	−2,000 sh	—	—	11,511
2019-06-06	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+1,900 sh	—	—	19,297
2019-06-06	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−1,900 sh	—	—	22,672
2019-06-05	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+1,900 sh	—	—	24,572
2019-05-09	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−20K sh	$58.61	−$1.17M	17,397
2019-01-02	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+4,179 sh	—	—	36,965
2019-01-02	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,179 sh	—	—	22,672
2018-09-25	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+1,900 sh	—	—	26,851
2018-08-07	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsJ Other	Director	JOther	−1,900 sh	—	—	24,951
2018-06-07	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+1,900 sh	—	—	32,786
2018-06-07	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−1,900 sh	—	—	26,851
2018-06-06	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+1,900 sh	—	—	28,751
2017-12-29	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+4,246 sh	—	—	32,886
2017-12-29	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,246 sh	—	—	26,851
2017-11-16	SFSTIFEL FINANCIAL CORPG Gift	Director	GGift	−2,000 sh	—	—	26,640
2017-11-10	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−1,768 sh	$52.27	−$92.4K	28,640
2017-07-31	Duff & Phelps Select MLP & Midstream Energy Fund Inc.S Sale	Director	SSale	−2,000 sh	$7.22	−$14.4K	14,395
2017-07-17	Virtus Total Return Fund Inc.S Sale	Director	SSale	−5,630 sh	$12.06	−$67.9K	0
2017-07-17	VGIVirtus Global Multi-Sector Income FundS Sale	Director	SSale	−1,586 sh	$16.81	−$26.7K	0
2017-06-07	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+1,900 sh	—	—	31,097
2017-01-11	ZTRVirtus Total Return Fund Inc.P Purchase	Director	PPurchase	+3,000 sh	$11.26	+$33.8K	3,000
2016-12-30	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+3,768 sh	—	—	29,772
2016-12-30	SFSTIFEL FINANCIAL CORPG Gift	Director	GGift	+573 sh	—	—	30,345
2016-12-30	SFSTIFEL FINANCIAL CORPG Gift	Director	GGift	−573 sh	—	—	0
2016-12-30	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−3,768 sh	—	—	29,197
2016-12-05	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−5,000 sh	$50.42	−$252K	28,004
2016-12-05	SFSTIFEL FINANCIAL CORPG Gift	Director	GGift	−2,000 sh	—	—	26,004
2016-11-22	SFSTIFEL FINANCIAL CORPS Sale	Director	SSale	−5,000 sh	$50.20	−$251K	33,004
2016-06-15	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+3,750 sh	—	—	32,528
2016-06-15	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+437 sh	—	—	32,965
2016-06-06	Duff & Phelps Select MLP & Midstream Energy Fund Inc.P Purchase	Director	PPurchase	+2,000 sh	$8.15	+$16.3K	14,552
2016-05-16	Duff & Phelps Select MLP & Midstream Energy Fund Inc.P Purchase	Director	PPurchase	+8,616 sh	$7.26	+$62.5K	12,552
2016-01-22	SFSTIFEL FINANCIAL CORPM Exercise/Conversion	Director	MExercise/Conversion	+3,778 sh	—	—	40,004
2016-01-22	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−3,778 sh	—	—	28,778
2015-12-04	Duff & Phelps Select MLP & Midstream Energy Fund Inc.P Purchase	Director	PPurchase	+2,000 sh	$6.28	+$12.6K	3,712
2015-07-22	SFSTIFEL FINANCIAL CORPG Gift	Director	GGift	−2,000 sh	—	—	34,226
2015-06-10	SFSTIFEL FINANCIAL CORP · Phantom Stock UnitsA Award	Director	AAward	+4,003 sh	—	—	32,556

Recent filings

Accepted (ET)
Jun 34
OATES JAMES M0001209191-21-037805
SEC(opens sec.gov)
May 284
OATES JAMES M0001209191-21-036506
SEC(opens sec.gov)
Feb 244
OATES JAMES M0001209191-21-013807
SEC(opens sec.gov)
Jan 144
OATES JAMES M0001209191-21-003630
SEC(opens sec.gov)
Nov 104
OATES JAMES M0001209191-20-057667
SEC(opens sec.gov)
Jun 94
OATES JAMES M0001209191-20-035241
SEC(opens sec.gov)
Jun 24
OATES JAMES M0001209191-20-033564
SEC(opens sec.gov)
Feb 135
OATES JAMES M0001209191-20-009158
SEC(opens sec.gov)
Jan 64
OATES JAMES M0001209191-20-001927
SEC(opens sec.gov)
Dec 234
OATES JAMES M0001209191-19-061811
SEC(opens sec.gov)
Jun 74
OATES JAMES M0001209191-19-035596
SEC(opens sec.gov)
May 104
OATES JAMES M0001209191-19-028921
SEC(opens sec.gov)
Jan 44
OATES JAMES M0001209191-19-001968
SEC(opens sec.gov)

Companies

Address

534 LAKE SHORE ROAD P.O. BOX 250

ELKINS, NH, 03233