SEC Form 4 · accession 0000930413-15-004389
EQUUS TOTAL RETURN, INC. · EQS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Pallieres Bertrand des
Director · 10% Owner
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 8:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000878932
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 18, 2015 | P | 25,000 | $1.50 | A | 2,573,740 | D | |
| Common StockF2 | Nov 20, 2015 | P | 3,638 | $1.45 | A | 2,577,378 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 948,238 shares held directly by Mr. des Pallieres and a trust controlled by him. Also includes 145,833 shares held directly by SPQR Capital Holdings S.A., a Luxembourg societe anonyme in which Mr. des Pallieres is a minority stockholder and serves as a director. Also includes 986,842 shares held directly by Lansdowne Capital S.A., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres.
- F2Includes 951,876 shares held directly by Mr. des Pallieres and a trust controlled by him. Also includes 145,833 shares held directly by SPQR Capital Holdings S.A., a Luxembourg societe anonyme in which Mr. des Pallieres is a minority stockholder and serves as a director. Also includes 986,842 shares held directly by Lansdowne Capital S.A., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres.