Oates James M

SEC-identified person · CIK 1180238 Identifier-verified

Public-company roles (from insider filings)

Company	Capacity as filed	Filings
Stifel Financial Corp SF	Director	filed 2006–2021
Virtus Global Multi-Sector Income Fund VGI	Director	filed 2013–2018
Zweig Fund INC /MD/ ZF	Director	filed 2016–2018
Duff & Phelps Select MLP & Midstream Energy Fund Inc. MLP	Director	filed 2014–2017
Zweig Total Return Fund INC ztr	Director	filed 2016–2017
John Hancock Preferred Income Fund hpi	Officer	filed 2012–2014
John Hancock Preferred Income Fund II hps	Officer	filed 2012–2014
John Hancock Preferred Income Fund III hps	Officer	filed 2012–2014
John Hancock Investors Trust jhi	Officer	filed 2012–2014
John Hancock Income Securities Trust jhs	Officer	filed 2012–2014
John Hancock Premium Dividend Fund pdt	Officer	filed 2012–2014
Virtus Total Return Fund DCA	Director	filed 2011–2013
John Hancock TAX-Advantaged Dividend Income Fund htd	Officer	filed 2012–2012
John Hancock Tax-Advantaged Global Shareholder Yield Fund HTY	Officer	filed 2012–2012
John Hancock Hedged Equity & Income Fund HEQ	Officer	filed 2012–2012
John Hancock Financial Opportunities Fund bto	Officer	filed 2012–2012
Investors Financial Services Corp IFIN	Director	filed 2006–2007

All roles under one Commission-assigned identifier - the same person by the SEC's own record, not by name matching. From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.