Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Duff & Phelps Select MLP & Midstream Energy Fund Inc.DSE · Entity 137850 | Director | July 31, 2017 | August 02, 2017 |
| STIFEL FINANCIAL CORPSF · Entity 3461 | Director | June 02, 2021 | June 03, 2021 |
| Virtus Global Multi-Sector Income FundVGI · Entity 6888 | Director | July 17, 2017 | April 13, 2018 |
| Virtus Total Return Fund Inc.ZF · Entity 167584 | Director | July 17, 2017 | April 13, 2018 |
| Virtus Total Return Fund Inc.ZTR · Entity 5817 | Director | January 11, 2017 | January 11, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Duff & Phelps Select MLP & Midstream Energy Fund Inc.
Report date July 31, 2017 · Filed August 02, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,395 |
Reported balance
After 2017-07-31 transaction · row 1
1 source rowRow 1 · 2017-07-31 · Sale · Disposed 2,000 · Balance 14,395 |
STIFEL FINANCIAL CORP
Report date June 02, 2021 · Filed June 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,996 |
Reported balance
After 2021-06-02 transaction · row 1
1 source rowRow 1 · 2021-06-02 · Sale · Disposed 20,000 · Balance 4,996 |
Virtus Global Multi-Sector Income Fund
Report date July 17, 2017 · Filed April 13, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-07-17 transaction · row 1
1 source rowRow 1 · 2017-07-17 · Sale · Disposed 1,586 · Balance 0 F1: Includes shares acquired through participation in the fund's dividend reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through participation in the fund's dividend reinvestment plan.
Virtus Total Return Fund Inc.
Report date July 17, 2017 · Filed April 13, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-07-17 transaction · row 1
1 source rowRow 1 · 2017-07-17 · Sale · Disposed 5,630 · Balance 0 F1: On 4/3/2017, Mr. Oates acquired the ZF shares being reflected as sold within this Form 4 by virtue of Virtus Total Return Fund (ticker: DCA) merging into the Issuer (ticker: ZF), and Mr. Oates receiving ZF shares in exchange for the DCA shares he then held. Prior to this merger, Mr. Oates did not own any shares of the Issuer. F2: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.0636 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: On 4/3/2017, Mr. Oates acquired the ZF shares being reflected as sold within this Form 4 by virtue of Virtus Total Return Fund (ticker: DCA) merging into the Issuer (ticker: ZF), and Mr. Oates receiving ZF shares in exchange for the DCA shares he then held. Prior to this merger, Mr. Oates did not own any shares of the Issuer.
F2: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.0636 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Virtus Total Return Fund Inc.
Report date January 11, 2017 · Filed January 11, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,000 |
Reported balance
After 2017-01-11 transaction · row 1
1 source rowRow 1 · 2017-01-11 · Purchase · Acquired 3,000 · Balance 3,000 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 02, 2021 Filed Jun 3, 2021 21:35 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 20,000 | $68.64 | $1,372,800.00 |
DisclosureSEC source: 0001209191-21-037805 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,996 Read SEC document |
| May 26, 2021 Filed May 28, 2021 19:59 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 22,154 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-036506 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,154 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| May 26, 2021 Filed May 28, 2021 19:59 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 22,154 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-036506 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,996 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 21:37 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 10,000 | $60.63 | $606,300.00 |
DisclosureSEC source: 0001209191-21-013807 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,842 Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 21:46 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 6,004 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-003630 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,184 Underlying: Common Stock · 6,004 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 12, 2021 Filed Jan 14, 2021 21:46 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 6,004 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-003630 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,842 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 21:54 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 9,000 | $68.14 | $613,260.00 |
DisclosureSEC source: 0001209191-20-057667 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,463 Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035241 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,792 Underlying: Common Stock · 1,900 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 20:16 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035241 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,463 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 29, 2020 Filed Jun 2, 2020 20:40 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 2,096 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033564 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,692 Underlying: Common Stock · 2,096 shares Expires not disclosed F1 · derivative.exercise_date: Units vest in 20% increments over a five year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 4,076 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001927 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,596 Underlying: Common Stock · 4,076 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 21:56 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 4,076 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001927 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,511 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 20, 2019 Filed Dec 23, 2019 21:39 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 10,000 | $61.99 | $619,940.00 |
DisclosureSEC source: 0001209191-19-061811 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,435 Read SEC document |
| November 21, 2019 Filed Feb 13, 2020 21:06 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009158 · doc5.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,511 Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:43 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035596 · doc4.xml · derivative · entry 3 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,672 Underlying: Common Stock · 1,900 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 20:43 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035596 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,297 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 20:43 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035596 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,572 Underlying: Common Stock · 1,900 shares Expires not disclosed F1 · derivative.exercise_date: Units vest quarterly over a one year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| May 09, 2019 Filed May 10, 2019 20:28 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 20,000 | $58.61 | $1,172,200.00 |
DisclosureSEC source: 0001209191-19-028921 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,397 Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:29 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 4,179 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001968 · doc4.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,672 Underlying: Common Stock · 4,179 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 21:29 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 4,179 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001968 · doc4.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,965 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:24 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-052450 · doc4.xml · derivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,851 Underlying: Common Stock · 1,900 shares Expires not disclosed F1 · derivative.exercise_date: Units vest quarterly over a one year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| August 07, 2018 Filed Aug 7, 2018 20:52 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | OtherPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-045700 · doc4.xml · derivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,951 Underlying: Common Stock · 1,900 shares Expires not disclosed F1 · kind: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units. F1 · price: The total previously reported on June 8, 2018 included an award of 1,900 Units under the Company's Equity Inventive Plan for Non-Employee Directors (2008 Restatement). On August 7, 2018, the Board of Directors of the Company (the "Board") unanimously voted to rescind its approval of the award of such Units and, in connection therewith, to approve an award of 1,900 Units (the "New Units") conditioned on shareholder approval of the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) by its shareholders. This Form 4 reflects the decreased total of Units as a result of the August 7, 2018 Board action. A Form 4 will be filed to update the total with respect to the granting of the New Units following receipt of such shareholder approval. No consideration was paid to the reporting person in connection with the rescission of its Units. F2 · derivative.exercise_date: Units vest quarterly over a one year period. F3 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:07 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000062 · edgardoc.xml · derivative · entry 3 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,851 Underlying: Common Stock · 1,900 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Currently exercisable. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 20:07 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 1,900 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000062 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,786 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 06, 2018 Filed Jun 8, 2018 20:07 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000062 · edgardoc.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,751 Underlying: Common Stock · 1,900 shares Expires not disclosed F1 · derivative.exercise_date: Units vest quarterly over a one year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:11 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 4,246 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000011 · edgardoc.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,851 Underlying: Common Stock · 4,246 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: Currently convertible. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 22:11 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 4,246 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000011 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,886 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 16, 2017 Filed Feb 13, 2018 22:00 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-18-000032 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,640 Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:38 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 1,768 | $52.27 | $92,413.36 |
DisclosureSEC source: 0000720672-17-000088 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,640 Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 15:28 UTC | Duff & Phelps Select MLP & Midstream Energy Fund Inc. DSE · Entity 137850 | SaleCommon Stock | 2,000 | $7.22 | $14,440.00 |
DisclosureSEC source: 0000883237-17-000076 · wf-form4_150170211631031.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,395 Read SEC document |
| July 17, 2017 Filed Apr 13, 2018 11:26 UTC | Virtus Total Return Fund Inc. ZF · Entity 167584 | SaleCommon Stock | 5,630 | $12.06 | $67,900.62 |
DisclosureSEC source: 0000883237-18-000044 · wf-form4_152363312536123.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On 4/3/2017, Mr. Oates acquired the ZF shares being reflected as sold within this Form 4 by virtue of Virtus Total Return Fund (ticker: DCA) merging into the Issuer (ticker: ZF), and Mr. Oates receiving ZF shares in exchange for the DCA shares he then held. Prior to this merger, Mr. Oates did not own any shares of the Issuer. F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $12.05 to $12.0636 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 17, 2017 Filed Apr 13, 2018 11:26 UTC | Virtus Global Multi-Sector Income Fund VGI · Entity 6888 | SaleCommon Stock | 1,586 | $16.81 | $26,660.66 |
DisclosureSEC source: 0000883237-18-000045 · wf-form4_152363317095813.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes shares acquired through participation in the fund's dividend reinvestment plan. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 19:38 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GrantPhantom Stock Units · Derivative | 1,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000065 · edgardoc.xml · derivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,097 Underlying: Common Stock · 1,900 shares Expires not disclosed F1 · derivative.exercise_date: Units vest quarterly over a one year period. F2 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| January 11, 2017 Filed Jan 11, 2017 22:25 UTC | Virtus Total Return Fund Inc. ZTR · Entity 5817 | PurchaseCommon Stock | 3,000 | $11.26 | $33,780.00 |
DisclosureSEC source: 0000883237-17-000006 · wf-form4_148417354486490.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:18 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionPhantom Stock Units · Derivative | 3,768 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000012 · edgardoc.xml · derivative · entry 4 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,197 Underlying: Common Stock · 3,768 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.expiration_date: No expiration date for these Units. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:18 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 573 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000012 · edgardoc.xml · nonDerivative · entry 3 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Spouse Disclosed balance after: 0 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:18 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 573 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000012 · edgardoc.xml · nonDerivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,345 Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 22:18 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | Exercise / conversionCommon Stock | 3,768 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-17-000012 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,772 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 05, 2016 Filed Dec 5, 2016 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000720672-16-000187 · edgardoc.xml · nonDerivative · entry 2 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,004 Read SEC document |
| December 05, 2016 Filed Dec 5, 2016 21:30 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 5,000 | $50.42 | $252,100.00 |
DisclosureSEC source: 0000720672-16-000187 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,004 Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 19:09 UTC | STIFEL FINANCIAL CORP SF · Entity 3461 | SaleCommon Stock | 5,000 | $50.20 | $251,000.00 |
DisclosureSEC source: 0000720672-16-000183 · edgardoc.xml · nonDerivative · entry 1 OATES JAMES M · CIK 0001180238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,004 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.