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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   $540,374    

Indirect Value

   $0      
Total Shares   26,155      
Total Value   $540,374      


Stifel Financial Corp $409,772 Virtus Total Return Fund $0 Hancock John Patriot Premium Dividend Fund II $12,950 John Hancock Preferred Income Fund II $12,588 John Hancock Preferred Income Fund III $12,992 Hancock John Investors Trust $9,595 Hancock John Income Securities Trust $10,550 John Hancock Tax-Advantaged Global Shareholder Yield Fund $4,314 John Hancock Tax-Advantaged Dividend Income Fund $12,795 John Hancock Preferred Income Fund $12,312 Hancock John Bank & Thrift Opportunity Fund $18,495 John Hancock Hedged Equity & Income Fund $7,647 Virtus Global Dividend & Income Fund Inc $16,365 Stifel Financial Corp $409,772 Virtus Total Return Fund $0 Hancock John Patriot Premium Dividend Fund II $12,950 John Hancock Preferred Income Fund II $12,588 John Hancock Preferred Income Fund III $12,992 Hancock John Investors Trust $9,595 Hancock John Income Securities Trust $10,550 John Hancock Tax-Advantaged Global Shareholder Yield Fund $4,314 John Hancock Tax-Advantaged Dividend Income Fund $12,795 John Hancock Preferred Income Fund $12,312 Hancock John Bank & Thrift Opportunity Fund $18,495 John Hancock Hedged Equity & Income Fund $7,647 Virtus Global Dividend & Income Fund Inc $16,365
 


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
SF Stifel Financial Corp Director   –       •      –    2006-02-13 4 OE $0.00 $0 D/D 378 51,727 -
SF Stifel Financial Corp Director   –       •      –    2016-12-30 4 GD $0.00 $0 I/I 573 0 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   –       •      –    2010-02-08 4 OE $13.48 $11,694 D/D 600 68,279 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   –       •      –    2008-02-12 4 OE $8.70 $10,053 D/D 732 64,601 0 -
SF Stifel Financial Corp Director   –       •      –    2007-02-12 4 OE $7.80 $19,792 D/D 1,199 61,132 0 -
SF Stifel Financial Corp Director   –       •      –    2009-06-26 4 OE $9.26 $23,039 D/D 1,299 63,076 0 -
SF Stifel Financial Corp Director   –       •      –    2014-12-01 5 GD $0.00 $0 D/D 1,500 32,367 0 -
VGI Virtus Global Multi-Secto... Director   –       •      –    2017-07-17 4 S $16.81 $26,661 D/D (1,586) 0 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   –       •      –    2018-06-07 4 OE $0.00 $0 D/D 1,900 32,786 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   –       •      –    2020-06-05 4 OE $0.00 $0 D/D 1,900 13,463 0 -
SF Stifel Financial Corp Director   –       •      –    2015-07-22 5 GD $0.00 $0 D/D 2,000 34,226 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   –       •      –    2013-11-25 4 GD $0.00 $0 D/D 2,572 35,808 0 -
SF Stifel Financial Corp Director   –       •      –    2008-01-11 4 OE $0.00 $0 D/D 2,737 63,869 0 -
SF Stifel Financial Corp Director   –       •      –    2007-01-19 4 OE $0.00 $0 D/D 2,938 59,933 0 -
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   –       •      –    2011-01-19 4 OE $0.00 $0 D/D 3,147 59,825 0 -
SF Stifel Financial Corp Director   –       •      –    2013-01-24 4 OE $0.00 $0 D/D 3,591 53,591 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   –       •      –    2016-01-22 4 OE $0.00 $0 D/D 3,778 40,004 0 -
SF Stifel Financial Corp Director   –       •      –    2015-01-22 4 OE $0.00 $0 D/D 3,859 37,726 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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