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Insider Information:   Oates James M
Relationship:   Director
City:  
State:  
   
Insider Summary:
  
   
Companies Owned :   15    
Direct Shares   26,155    

Indirect Shares

   0      
Direct Value   $533,658    

Indirect Value

   $0      
Total Shares   26,155      
Total Value   $533,658      


Stifel Financial Corp $405,026 Virtus Total Return Fund $0 Hancock John Patriot Premium Dividend Fund II $12,696 John Hancock Preferred Income Fund II $12,178 John Hancock Preferred Income Fund III $12,883 Hancock John Investors Trust $9,531 Hancock John Income Securities Trust $10,421 John Hancock Tax-Advantaged Global Shareholder Yield Fund $4,314 John Hancock Tax-Advantaged Dividend Income Fund $12,540 John Hancock Preferred Income Fund $12,134 Hancock John Bank & Thrift Opportunity Fund $18,088 John Hancock Hedged Equity & Income Fund $7,647 Virtus Global Dividend & Income Fund Inc $16,200 Stifel Financial Corp $405,026 Virtus Total Return Fund $0 Hancock John Patriot Premium Dividend Fund II $12,696 John Hancock Preferred Income Fund II $12,178 John Hancock Preferred Income Fund III $12,883 Hancock John Investors Trust $9,531 Hancock John Income Securities Trust $10,421 John Hancock Tax-Advantaged Global Shareholder Yield Fund $4,314 John Hancock Tax-Advantaged Dividend Income Fund $12,540 John Hancock Preferred Income Fund $12,134 Hancock John Bank & Thrift Opportunity Fund $18,088 John Hancock Hedged Equity & Income Fund $7,647 Virtus Global Dividend & Income Fund Inc $16,200
 


Historical Performance :
Based on 6 Month Return Percentages
Buys 
Sells 

     Total Filings :
    0   
    3    

     Stock price went up :
    0   
    2    
     Stock price went down :
    0   
    1    
   
     Gain/Loss Ratio :
   0.0   
   2.0   
     Percentage Gain/Loss :
     0.0%
 34.2%
     
   
Holdings :
     Menu Company Name Ticker Relation Direct Date Direct Shares Indirect Date Indirect Shares Total Value Sold  
            Stifel Financial Corp SF Director 2021-06-02 4,996 2016-12-30 0    Premium*  
            Virtus Total Return Fund DCA Director 2013-05-13 10,249 2012-01-26 0    Premium*  
            Hancock John Patriot Premium Div... PDT Trustee of the Fund 2014-02-10 1,104 0    Premium*  
            John Hancock Preferred Income Fu... HPF Trustee of the Fund 2014-02-10 731 0    Premium*  
            John Hancock Preferred Income Fu... HPS Trustee of the Fund 2014-02-10 842 0    Premium*  
            Hancock John Investors Trust JHI Trustee of the Fund 2014-02-10 706 0    Premium*  
            Hancock John Income Securities T... JHS Trustee of the Fund 2014-02-10 923 0    Premium*  
            John Hancock Tax-Advantaged Glob... HTY 2012-12-01 868 0    Premium*  
            John Hancock Tax-Advantaged Divi... HTD 2012-12-01 622 0    Premium*  
            John Hancock Preferred Income Fund HPI Trustee of the Fund 2014-02-10 739 0    Premium*  
            Hancock John Bank & Thrift Oppor... BTO 2012-12-01 646 0    Premium*  
            John Hancock Hedged Equity & Inc... HEQ 2012-12-01 729 0    Premium*  
            Virtus Global Multi-Sector Incom... VGI Director 2017-07-17 0 0    Premium*  
            Virtus Global Dividend & Income ... ZTR Director 2017-01-11 3,000 2017-01-11 0    Premium*  
            Virtus Total Return Fund Inc ZF Director 2017-07-17 0 2017-07-17 0    Premium*  
* Premium Members only  

Records found :    81         Free Registration Required For Full Results.    Limit: 25

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  Page 2 of 4
Ticker Company Name Relation   Off-Dir-10% Trans. Date Form Action Price Mkt Value D/I Shares    Holdings   
Rank

  
3m +/-  
Form
ZTR Virtus Global Dividend & ... Director   –       •      –    2017-01-11 4 B $11.26 $33,780 D/D 3,000 3,000 2.39 -
SF Stifel Financial Corp Director   –       •      –    2020-11-09 4 S $68.14 $613,260 D/D (9,000) 4,463 0 %
SF Stifel Financial Corp Director   –       •      –    2003-08-13 4 B $12.50 $8,750 I/I 700 4,700 2.1 -
SF Stifel Financial Corp Director   –       •      –    2021-06-02 4 S $68.64 $1,372,800 D/D (20,000) 4,996 0 %
SF Stifel Financial Corp Director   –       •      –    2008-02-12 4 A $0.00 $0 I/I 255 6,521 0 -
SF Stifel Financial Corp Director   –       •      –    2008-04-25 4 A $0.00 $0 I/I 200 6,721 0 -
SF Stifel Financial Corp Director   –       •      –    2019-12-20 4 S $61.99 $619,940 D/D (10,000) 9,435 0 -
DCA Virtus Total Return Fund Director   –       •      –    2012-01-26 4 B $3.45 $34,496 D/D 10,000 10,000 2.39 -
DCA Virtus Total Return Fund Director   –       •      –    2013-05-13 3 IO $0.00 $0 D/D 0 10,249 -
SF Stifel Financial Corp Director   –       •      –    2021-01-12 4 OE $0.00 $0 D/D 6,004 12,842 0 -
SF Stifel Financial Corp Director   –       •      –    2020-06-05 4 OE $0.00 $0 D/D 1,900 13,463 0 -
SF Stifel Financial Corp Director   –       •      –    2020-01-02 4 OE $0.00 $0 D/D 4,076 13,511 0 -
SF Stifel Financial Corp Director   –       •      –    2019-05-09 4 S $58.61 $1,172,200 D/D (20,000) 17,397 0 -
SF Stifel Financial Corp Director   –       •      –    2019-06-06 4 OE $0.00 $0 D/D 1,900 19,297 0 -
SF Stifel Financial Corp Director   –       •      –    2021-05-26 4 OE $0.00 $0 D/D 22,154 24,996 0 -
SF Stifel Financial Corp Director   –       •      –    2016-12-05 4 GD $0.00 $0 D/D 2,000 26,004 0 -
SF Stifel Financial Corp Director   –       •      –    2016-12-05 4 S $50.42 $252,100 D/D (5,000) 28,004 0 -
SF Stifel Financial Corp Director   –       •      –    2017-11-10 4 S $52.27 $92,413 D/D (1,768) 28,640 0 -
SF Stifel Financial Corp Director   –       •      –    2016-12-30 4 OE $0.00 $0 D/D 3,768 29,772 0 -
SF Stifel Financial Corp Director   –       •      –    2013-11-26 4 S $44.95 $269,700 D/D (6,000) 29,808 0 -
SF Stifel Financial Corp Director   –       •      –    2016-12-30 4 GA $0.00 $0 D/D 573 30,345 0 -
SF Stifel Financial Corp Director   –       •      –    2014-12-01 5 GD $0.00 $0 D/D 1,500 32,367 0 -
SF Stifel Financial Corp Director   –       •      –    2018-06-07 4 OE $0.00 $0 D/D 1,900 32,786 0 -
SF Stifel Financial Corp Director   –       •      –    2017-12-29 4 OE $0.00 $0 D/D 4,246 32,886 0 -
SF Stifel Financial Corp Director   –       •      –    2016-11-22 4 S $50.20 $251,000 D/D (5,000) 33,004 0 -
  81  Records found
  1   2  3   4      
  Page 2 of 4  
 
Free Registration Required For Full Results.    Limit: 25

 
 
  Transaction Code Key: Ownership Code Key
  B - Buy AB - Automatic Buy D - Direct Ownership
  S - Sell AS - Automatic Sell I - Indirect Ownership
OE - Options Exercised A - Aquired
  IO - Initital Ownership D - Disposed
 
 
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