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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 3 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   –       •      –    2013-01-24 4 OE $0.00 $0 D/D 3,591 53,591 0 -
SF Stifel Financial Corp Director   –       •      –    2014-01-24 4 OE $0.00 $0 D/D 4,059 33,867 0 -
SF Stifel Financial Corp Director   –       •      –    2015-01-22 4 OE $0.00 $0 D/D 3,859 37,726 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   –       •      –    2016-12-30 4 OE $0.00 $0 D/D 3,768 29,772 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   –       •      –    2018-06-07 4 OE $0.00 $0 D/D 1,900 32,786 0 -
SF Stifel Financial Corp Director   –       •      –    2019-01-02 4 OE $0.00 $0 D/D 4,179 36,965 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   –       •      –    2020-01-02 4 OE $0.00 $0 D/D 4,076 13,511 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   –       •      –    2021-01-12 4 OE $0.00 $0 D/D 6,004 12,842 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   –       •      –    2009-02-17 4 S $35.06 $1,402,400 D/D (40,000) 61,777 0 -
SF Stifel Financial Corp Director   –       •      –    2010-03-17 4 S $54.97 $549,700 D/D (10,000) 67,678 0 -
SF Stifel Financial Corp Director   –       •      –    2010-08-27 4 S $45.54 $500,940 D/D (11,000) 56,678 0 -
SF Stifel Financial Corp Director   –       •      –    2011-02-18 4 S $73.93 $430,347 D/D (5,821) 52,000 0 -
SF Stifel Financial Corp Director   –       •      –    2011-05-18 4 S $40.10 $401,000 D/D (10,000) 65,450 0 -
SF Stifel Financial Corp Director   –       •      –    2012-02-21 4 S $38.80 $754,039 D/D (19,434) 50,000 0 -
SF Stifel Financial Corp Director   –       •      –    2013-09-17 4 S $42.51 $340,080 D/D (8,000) 38,380 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   –       •      –    2016-11-22 4 S $50.20 $251,000 D/D (5,000) 33,004 0 -
SF Stifel Financial Corp Director   –       •      –    2016-12-05 4 S $50.42 $252,100 D/D (5,000) 28,004 0 -
ZF Virtus Total Return Fund ... Director   –       •      –    2017-07-17 4 S $12.06 $67,901 D/D (5,630) 0 0 -
VGI Virtus Global Multi-Secto... Director   –       •      –    2017-07-17 4 S $16.81 $26,661 D/D (1,586) 0 0 -
  81  Records found
  1   2   3  4      
  Page 3 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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