Insider Trading History of Oates James M

The following table details the insider trading activities (stock purchases, stock sales, and stock option exercises) of Oates James M since 2006. This trader's CIK number is 1180238. At the time of last reporting, Oates James M was the Director of Stifel Financial Corp. (stock ticker symbol SF). Also see all insider trading activities at Stifel Financial Corp.

Note that in the past OATES JAMES M also reported insider trading activities as an insider of the following companies:

Yearly summary of insider trading at Dividend Capital Realty Income Allocation Fund (DCA) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2012	DCA	10,000	$34,490	0	$0	0	$0

Yearly summary of insider trading at John Hancock Income Securities Trust (JHS) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2014	JHS	136	$1,976	0	$0	0	$0

Yearly summary of insider trading at Virtus Global Multi-sector Income Fund (VGI) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2017	VGI	0	$0	1,586	$26,660	0	$0

Yearly summary of insider trading at John Hancock Preferred Income Fund (HPI) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2014	HPI	105	$1,989	0	$0	0	$0
2013	HPI	53	$972	0	$0	0	$0

Yearly summary of insider trading at John Hancock Preferred Income Fund Ii (HPF) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2014	HPF	105	$1,982	0	$0	0	$0
2013	HPF	54	$984	0	$0	0	$0

Yearly summary of insider trading at Stifel Financial Corp (SF) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2021	SF	0	$0	30,000	$1,979,100	28,158	$0
2020	SF	0	$0	9,000	$613,260	5,976	$0
2019	SF	0	$0	30,000	$1,792,140	6,079	$0
2018	SF	0	$0	0	$0	6,146	$0
2017	SF	0	$0	1,768	$92,413	3,768	$0
2016	SF	0	$0	5,000	$251,000	3,778	$0
2015	SF	0	$0	0	$0	3,859	$0
2014	SF	0	$0	0	$0	4,059	$0
2013	SF	0	$0	14,000	$609,780	3,591	$0
2012	SF	0	$0	19,434	$754,039	3,984	$0
2011	SF	0	$0	15,821	$831,346	3,447	$7,650
2010	SF	0	$0	21,000	$1,050,640	5,203	$11,693
2009	SF	0	$0	40,000	$1,402,400	6,172	$20,887
2008	SF	0	$0	0	$0	3,469	$10,445
2007	SF	0	$0	0	$0	4,137	$21,308
2006	SF	0	$0	0	$0	5,646	$58,754

Yearly summary of insider trading at Duff & Phelps Select Mlp & Midstream Energy Fund Inc. (DSE) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2017	DSE	0	$0	2,000	$14,440	0	$0
2016	DSE	10,616	$78,851	0	$0	0	$0
2015	DSE	2,000	$12,560	0	$0	0	$0

Yearly summary of insider trading at John Hancock Preferred Income Fund Iii (HPS) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2014	HPS	118	$1,984	0	$0	0	$0
2013	HPS	61	$979	0	$0	0	$0

Yearly summary of insider trading at Virtus Total Return Fund Inc. (ZF) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2017	ZF	0	$0	5,630	$67,903	0	$0

Yearly summary of insider trading at John Hancock Premium Dividend Fund (PDT) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2014	PDT	162	$1,979	0	$0	0	$0

Yearly summary of insider trading at John Hancock Investors Trust (JHI) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2014	JHI	100	$1,997	0	$0	0	$0
2013	JHI	52	$979	0	$0	0	$0

Yearly summary of insider trading at Virtus Total Return Fund Inc. (ZTR) by Oates James M

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2017	ZTR	3,000	$33,780	0	$0	0	$0

Insider trading activities at 12 companies by Oates James M:

1. Dividend Capital Realty Income Allocation Fund (DCA)

2. John Hancock Income Securities Trust (JHS)

3. Virtus Global Multi-sector Income Fund (VGI)

4. John Hancock Preferred Income Fund (HPI)

5. John Hancock Preferred Income Fund Ii (HPF)

6. Stifel Financial Corp (SF)

7. Duff & Phelps Select Mlp & Midstream Energy Fund Inc. (DSE)

8. John Hancock Preferred Income Fund Iii (HPS)

9. Virtus Total Return Fund Inc. (ZF)

10. John Hancock Premium Dividend Fund (PDT)

11. John Hancock Investors Trust (JHI)

12. Virtus Total Return Fund Inc. (ZTR)

Table 1. Insider trading of Dividend Capital Realty Income Allocation Fund (DCA) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2012-01-26	DCA	Buy	10,000	3.45	34,490

Table 2. Insider trading of John Hancock Income Securities Trust (JHS) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2014-02-10	JHS	Buy	136	14.53	1,976

Table 3. Insider trading of Virtus Global Multi-sector Income Fund (VGI) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2017-07-17	VGI	Sale	1,586	16.81	26,660

Table 4. Insider trading of John Hancock Preferred Income Fund (HPI) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2014-02-10	HPI	Buy	105	18.95	1,989
2013-11-18	HPI	Buy	53	18.35	972

Table 5. Insider trading of John Hancock Preferred Income Fund Ii (HPF) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2014-02-10	HPF	Buy	105	18.88	1,982
2013-11-18	HPF	Buy	54	18.23	984

Table 6. Insider trading of Stifel Financial Corp (SF) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2021-06-02	SF	Sale	20,000	68.64	1,372,800
2021-05-26	SF	Option Ex	22,154	.00	0
2021-02-22	SF	Sale	10,000	60.63	606,300
2021-01-12	SF	Option Ex	6,004	.00	0
2020-11-09	SF	Sale	9,000	68.14	613,260
2020-06-05	SF	Option Ex	1,900	.00	0
2020-01-02	SF	Option Ex	4,076	.00	0
2019-12-20	SF	Sale	10,000	61.99	619,940
2019-06-06	SF	Option Ex	1,900	.00	0
2019-05-09	SF	Sale	20,000	58.61	1,172,200
2019-01-02	SF	Option Ex	4,179	.00	0
2018-06-07	SF	Option Ex	1,900	.00	0
2017-12-29	SF	Option Ex	4,246	.00	0
2017-11-10	SF	Sale	1,768	52.27	92,413
2016-12-30	SF	Option Ex	3,768	.00	0
2016-11-22	SF	Sale	5,000	50.20	251,000
2016-01-22	SF	Option Ex	3,778	.00	0
2015-01-22	SF	Option Ex	3,859	.00	0
2014-01-24	SF	Option Ex	4,059	.00	0
2013-11-26	SF	Sale	6,000	44.95	269,700
2013-09-17	SF	Sale	8,000	42.51	340,080
2013-01-24	SF	Option Ex	3,591	.00	0
2012-02-21	SF	Sale	19,434	38.80	754,039
2012-01-17	SF	Option Ex	3,984	.00	0
2011-05-18	SF	Sale	10,000	40.10	401,000
2011-03-14	SF	Option Ex	300	25.50	7,650
2011-02-18	SF	Sale	5,821	73.93	430,346
2011-01-19	SF	Option Ex	3,147	.00	0
2010-08-27	SF	Sale	11,000	45.54	500,940
2010-03-17	SF	Sale	10,000	54.97	549,700
2010-02-08	SF	Option Ex	600	19.49	11,693
2010-01-20	SF	Option Ex	4,603	.00	0
2009-06-26	SF	Option Ex	1,299	16.08	20,887
2009-02-17	SF	Sale	40,000	35.06	1,402,400
2009-01-20	SF	Option Ex	4,873	.00	0
2008-02-12	SF	Option Ex	732	14.27	10,445
2008-01-11	SF	Option Ex	2,737	.00	0
2007-02-12	SF	Option Ex	1,199	17.77	21,308
2007-01-19	SF	Option Ex	2,938	.00	0
2006-04-11	SF	Option Ex	5,268	11.15	58,754
2006-02-13	SF	Option Ex	378	.00	0

Table 7. Insider trading of Duff & Phelps Select Mlp & Midstream Energy Fund Inc. (DSE) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2017-07-31	DSE	Sale	2,000	7.22	14,440
2016-06-06	DSE	Buy	2,000	8.15	16,308
2016-05-16	DSE	Buy	8,616	7.26	62,543
2015-12-04	DSE	Buy	2,000	6.28	12,560

Table 8. Insider trading of John Hancock Preferred Income Fund Iii (HPS) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2014-02-10	HPS	Buy	118	16.82	1,984
2013-11-18	HPS	Buy	61	16.06	979

Table 9. Insider trading of Virtus Total Return Fund Inc. (ZF) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2017-07-17	ZF	Sale	5,630	12.06	67,903

Table 10. Insider trading of John Hancock Premium Dividend Fund (PDT) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2014-02-10	PDT	Buy	162	12.22	1,979

Table 11. Insider trading of John Hancock Investors Trust (JHI) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2014-02-10	JHI	Buy	100	19.97	1,997
2013-11-18	JHI	Buy	52	18.83	979

Table 12. Insider trading of Virtus Total Return Fund Inc. (ZTR) by Oates James M

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2017-01-11	ZTR	Buy	3,000	11.26	33,780

Insider trading activities including stock purchases, stock sales, and option exercises listed in the above table cannot be completely guaranteed as to their accuracy. For more information regarding the trades made by Oates James M (Director of Stifel Financial Corp at the time of this reporting) see the Securities and Exchange Commission (SEC) website.

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