SEC Form 4/A · accession 0001391609-15-000303
EQUUS TOTAL RETURN, INC. · EQS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Pallieres Bertrand des
Director · 10% Owner
Period of report
Nov 18, 2015
Accepted (ET)
Dec 22, 2015 · 1:06 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 | 2,090,913 | D | |
| Common StockF2 | Nov 20, 2015 | P | 3,638 | $1.45 | A | 2,094,551 | 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.