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OATES JAMES M

Director at STIFEL FINANCIAL · Director at Virtus Global Multi-Sector Income Fund · Director at Virtus Total Return Fund · and 6 more. Filing since 17 Feb 2009. CIK 0001180238

SF STIFEL FINANCIAL CORP Director · 16 trades VGI Virtus Global Multi-Sector Income Fund Director · 1 trade ZTR Virtus Total Return Fund Inc. Director · 1 trade JHI JOHN HANCOCK INVESTORS TRUST Trustee of the Fund · 2 trades HPI JOHN HANCOCK PREFERRED INCOME FUND Trustee of the Fund · 2 trades HPS JOHN HANCOCK PREFERRED INCOME FUND III Trustee of the Fund · 2 trades HPF JOHN HANCOCK PREFERRED INCOME FUND II Trustee of the Fund · 2 trades PDT JOHN HANCOCK PREMIUM DIVIDEND FUND Trustee of the Fund · 1 trade JHS JOHN HANCOCK INCOME SECURITIES TRUST Trustee of the Fund · 1 trade
Company
Date
Role
Action
Shares
Amount
Of holding
SF STIFEL FINANCIAL CORP
2 Jun 2021
Director
Sold, plan not stated
20,000
$1.37M
80.0%
SF STIFEL FINANCIAL CORP
22 Feb 2021
Director
Sold, plan not stated
10,000
$606.30K
77.9%
SF STIFEL FINANCIAL CORP
9 Nov 2020
Director
Sold, plan not stated
9,000
$613.26K
66.8%
SF STIFEL FINANCIAL CORP
20 Dec 2019
Director
Sold, plan not stated
10,000
$619.94K
51.5%
SF STIFEL FINANCIAL CORP
9 May 2019
Director
Sold, plan not stated
20,000
$1.17M
53.5%
SF STIFEL FINANCIAL CORP
10 Nov 2017
Director
Sold, plan not stated
1,768
$92.41K
5.8%
VGI Virtus Global Multi-Sector Income Fund
17 Jul 2017
Director
Sold, plan not stated
1,586
$26.66K
100%
ZTR Virtus Total Return Fund Inc.
11 Jan 2017
Director
Bought
3,000
$33.78K
opened
SF STIFEL FINANCIAL CORP
5 Dec 2016
Director
Sold, plan not stated
5,000
$252.10K
15.1%
SF STIFEL FINANCIAL CORP
22 Nov 2016
Director
Sold, plan not stated
5,000
$251.00K
13.2%
JHI JOHN HANCOCK INVESTORS TRUST
10 Feb 2014
Trustee of the Fund
Bought
100
$2.00K
16.5%
HPI JOHN HANCOCK PREFERRED INCOME FUND
10 Feb 2014
Trustee of the Fund
Bought
105
$1.99K
16.6%
HPS JOHN HANCOCK PREFERRED INCOME FUND III
10 Feb 2014
Trustee of the Fund
Bought
118
$1.98K
16.3%
HPF JOHN HANCOCK PREFERRED INCOME FUND II
10 Feb 2014
Trustee of the Fund
Bought
105
$1.98K
16.8%
PDT JOHN HANCOCK PREMIUM DIVIDEND FUND
10 Feb 2014
Trustee of the Fund
Bought
162
$1.98K
17.2%
JHS JOHN HANCOCK INCOME SECURITIES TRUST
10 Feb 2014
Trustee of the Fund
Bought
136
$1.98K
17.3%
SF STIFEL FINANCIAL CORP
26 Nov 2013
Director
Sold, plan not stated
6,000
$269.70K
16.8%
HPF JOHN HANCOCK PREFERRED INCOME FUND II
18 Nov 2013
Trustee of the Fund
Bought
54
$984.42
9.7%
HPS JOHN HANCOCK PREFERRED INCOME FUND III
18 Nov 2013
Trustee of the Fund
Bought
61
$979.66
9.4%
JHI JOHN HANCOCK INVESTORS TRUST
18 Nov 2013
Trustee of the Fund
Bought
52
$979.16
9.6%
HPI JOHN HANCOCK PREFERRED INCOME FUND
18 Nov 2013
Trustee of the Fund
Bought
53
$972.54
9.3%
SF STIFEL FINANCIAL CORP
17 Sep 2013
Director
Sold, plan not stated
8,000
$340.08K
17.2%
SF STIFEL FINANCIAL CORP
21 Feb 2012
Director
Sold, plan not stated
19,434
$754.04K
28.0%
SF STIFEL FINANCIAL CORP
18 May 2011
Director
Sold, plan not stated
10,000
$401.00K
13.3%
SF STIFEL FINANCIAL CORP
18 Feb 2011
Director
Sold, plan not stated
5,821
$430.35K
10.1%
SF STIFEL FINANCIAL CORP
27 Aug 2010
Director
Sold, plan not stated
11,000
$500.94K
16.3%
SF STIFEL FINANCIAL CORP
17 Mar 2010
Director
Sold, plan not stated
10,000
$549.70K
12.9%
SF STIFEL FINANCIAL CORP
17 Feb 2009
Director
Sold, plan not stated
40,000
$1.40M
39.3%
28 decisions on file.