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OATES JAMES M
Date
Name
Symbol
Type
Security
Shares
Price
Value
Ownership
Reported
06/02/2021
STIFEL FINANCIAL CORP
SF
Sale
Common Stock
20k
$68.64
$1.4M
06/02/2021
05/26/2021
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
22.2k
$0.00
$0
05/26/2021
02/22/2021
STIFEL FINANCIAL CORP
SF
Sale
Common Stock
10k
$60.63
$606.3k
02/22/2021
01/12/2021
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
6k
$0.00
$0
01/12/2021
11/09/2020
STIFEL FINANCIAL CORP
SF
Sale
Common Stock
9k
$68.14
$613.3k
11/09/2020
06/05/2020
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
1.9k
$0.00
$0
06/05/2020
05/29/2020
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
2.1k
$0.00
$0
05/29/2020
01/02/2020
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
4.1k
$0.00
$0
01/02/2020
06/06/2019
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
1.9k
$0.00
$0
06/05/2019
06/05/2019
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
1.9k
$0.00
$0
06/05/2019
05/09/2019
STIFEL FINANCIAL CORP
SF
Sale
Common Stock
20k
$58.61
$1.2M
05/09/2019
01/02/2019
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
4.2k
$0.00
$0
01/02/2019
09/25/2018
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
1.9k
$0.00
$0
09/25/2018
08/07/2018
STIFEL FINANCIAL CORP
SF
Other (disposition)
Phantom Stock Units
1.9k
$0.00
$0
08/07/2018
06/07/2018
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
1.9k
$0.00
$0
06/06/2018
06/06/2018
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
1.9k
$0.00
$0
06/06/2018
11/10/2017
STIFEL FINANCIAL CORP
SF
Sale
Common Stock
1.8k
$52.27
$92.4k
11/10/2017
07/31/2017
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
DSE
Sale
Common Stock
2k
$7.22
$14.4k
07/31/2017
07/17/2017
Virtus Global Multi-Sector Income Fund
VGI
Sale
Common Stock
1.6k
$16.81
$26.7k
07/17/2017
07/17/2017
Virtus Total Return Fund Inc.
ZF
Sale
Common Stock
5.6k
$12.06
$67.9k
07/17/2017
06/07/2017
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
1.9k
$0.00
$0
06/07/2017
01/11/2017
Virtus Total Return Fund Inc.
ZTR
Purchase
Common Stock
3k
$11.26
$33.8k
01/11/2017
12/05/2016
STIFEL FINANCIAL CORP
SF
Gift
Common Stock
2k
$0.00
$0
12/05/2016
12/05/2016
STIFEL FINANCIAL CORP
SF
Sale
Common Stock
5k
$50.42
$252.1k
12/05/2016
06/15/2016
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
437
$0.00
$0
06/15/2016
06/15/2016
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
3.8k
$0.00
$0
06/15/2016
06/06/2016
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
DSE
Purchase
Common Stock
2k
$8.15
$16.3k
06/06/2016
05/16/2016
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
DSE
Purchase
Common Stock
8.6k
$7.26
$62.5k
05/16/2016
01/22/2016
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
3.8k
$0.00
$0
01/22/2016
12/04/2015
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
DSE
Purchase
Common Stock
2k
$6.28
$12.6k
12/04/2015
06/10/2015
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
4k
$0.00
$0
06/10/2015
01/22/2015
STIFEL FINANCIAL CORP
SF
Exercise
Phantom Stock Units
3.9k
$0.00
$0
01/22/2015
11/04/2014
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
DSE
Grant
Common Stock
1.5k
$16.50
$24.8k
11/04/2014
06/11/2014
STIFEL FINANCIAL CORP
SF
Grant
Phantom Stock Units
4.1k
$0.00
$0
06/11/2014
02/10/2014
JOHN HANCOCK INVESTORS TRUST
JHI
Purchase
common shares of beneficial interest
100
$19.97
$2k
02/10/2014
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