James M. Oates

Filings by James M. Oates span 12 companies, the busiest being Stifel Financial Corp, Investors Financial Services Corp and Duff & Phelps Select MLP & Midstream Energy Fund Inc. In total, 133 filings cover trades dated from 13 February 2006 to 2 June 2021.

The open-market side counts 18 purchases for €151k alongside 19 sales for €7.9M. On balance, insiders were net sellers of €7.8M. Unlike grants, an open-market purchase is paid for by the insider, at the market price. The rest of the record consists of 7 share grants and 80 option exercises. Since January 2021: no purchases and 2 sales on the market.

A typical purchase (the median) is worth €1,459. 1 out of 3 purchases came within 30 days of a purchase by at least one other insider of the same company. A cluster is several different insiders buying the same stock within a short window, a pattern studied more closely than a single purchase.

The latest filing, published on 3 June 2021, reports an open-market sale of €1.1M in Stifel Financial Corp. The latest purchase dates back some time: it was published 3,573 days ago, on 11 January 2017. The median gap between a trade and its publication by SEC (Form 4) is 1 day. The legal deadline for a Form 4 is two business days after the transaction. Sales are harder to read than purchases, since they often meet personal needs such as tax or diversification. This summary is built from SEC (Form 4) disclosures alone and does not predict where the share price will go.