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OATES JAMES M

DateNameSymbolTypeSecuritySharesPriceValueOwnershipReported
06/02/2021STIFEL FINANCIAL CORPSFSaleCommon Stock20k$68.64$1.4M 06/02/2021
05/26/2021STIFEL FINANCIAL CORPSFExercisePhantom Stock Units22.2k$0.00$0 05/26/2021
02/22/2021STIFEL FINANCIAL CORPSFSaleCommon Stock10k$60.63$606.3k 02/22/2021
01/12/2021STIFEL FINANCIAL CORPSFExercisePhantom Stock Units6k$0.00$0 01/12/2021
11/09/2020STIFEL FINANCIAL CORPSFSaleCommon Stock9k$68.14$613.3k 11/09/2020
06/05/2020STIFEL FINANCIAL CORPSFExercisePhantom Stock Units1.9k$0.00$0 06/05/2020
05/29/2020STIFEL FINANCIAL CORPSFGrantPhantom Stock Units2.1k$0.00$0 05/29/2020
01/02/2020STIFEL FINANCIAL CORPSFExercisePhantom Stock Units4.1k$0.00$0 01/02/2020
06/06/2019STIFEL FINANCIAL CORPSFExercisePhantom Stock Units1.9k$0.00$0 06/05/2019
06/05/2019STIFEL FINANCIAL CORPSFGrantPhantom Stock Units1.9k$0.00$0 06/05/2019
05/09/2019STIFEL FINANCIAL CORPSFSaleCommon Stock20k$58.61$1.2M 05/09/2019
01/02/2019STIFEL FINANCIAL CORPSFExercisePhantom Stock Units4.2k$0.00$0 01/02/2019
09/25/2018STIFEL FINANCIAL CORPSFGrantPhantom Stock Units1.9k$0.00$0 09/25/2018
08/07/2018STIFEL FINANCIAL CORPSFOther (disposition)Phantom Stock Units1.9k$0.00$0 08/07/2018
06/07/2018STIFEL FINANCIAL CORPSFExercisePhantom Stock Units1.9k$0.00$0 06/06/2018
06/06/2018STIFEL FINANCIAL CORPSFGrantPhantom Stock Units1.9k$0.00$0 06/06/2018
11/10/2017STIFEL FINANCIAL CORPSFSaleCommon Stock1.8k$52.27$92.4k 11/10/2017
07/31/2017Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSESaleCommon Stock2k$7.22$14.4k 07/31/2017
07/17/2017Virtus Global Multi-Sector Income FundVGISaleCommon Stock1.6k$16.81$26.7k 07/17/2017
07/17/2017Virtus Total Return Fund Inc.ZFSaleCommon Stock5.6k$12.06$67.9k 07/17/2017
06/07/2017STIFEL FINANCIAL CORPSFGrantPhantom Stock Units1.9k$0.00$0 06/07/2017
01/11/2017Virtus Total Return Fund Inc.ZTRPurchaseCommon Stock3k$11.26$33.8k 01/11/2017
12/05/2016STIFEL FINANCIAL CORPSFSaleCommon Stock5k$50.42$252.1k 12/05/2016
12/05/2016STIFEL FINANCIAL CORPSFGiftCommon Stock2k$0.00$0 12/05/2016
06/15/2016STIFEL FINANCIAL CORPSFGrantPhantom Stock Units437$0.00$0 06/15/2016
06/15/2016STIFEL FINANCIAL CORPSFGrantPhantom Stock Units3.8k$0.00$0 06/15/2016
06/06/2016Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSEPurchaseCommon Stock2k$8.15$16.3k 06/06/2016
05/16/2016Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSEPurchaseCommon Stock8.6k$7.26$62.5k 05/16/2016
01/22/2016STIFEL FINANCIAL CORPSFExercisePhantom Stock Units3.8k$0.00$0 01/22/2016
12/04/2015Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSEPurchaseCommon Stock2k$6.28$12.6k 12/04/2015
06/10/2015STIFEL FINANCIAL CORPSFGrantPhantom Stock Units4k$0.00$0 06/10/2015
01/22/2015STIFEL FINANCIAL CORPSFExercisePhantom Stock Units3.9k$0.00$0 01/22/2015
11/04/2014Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSEGrantCommon Stock1.5k$16.50$24.8k 11/04/2014
06/11/2014STIFEL FINANCIAL CORPSFGrantPhantom Stock Units4.1k$0.00$0 06/11/2014
02/10/2014JOHN HANCOCK INVESTORS TRUSTJHIPurchasecommon shares of beneficial interest100$19.97$2k 02/10/2014
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