SEC Form 4/A · accession 0001391609-15-000306
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 20, 2015
Accepted (ET)
Dec 22, 2015 · 1:11 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 20, 2015 | P | 42,284 | $1.50 | A | 2,136,835 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 994,160 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 inlcudes 986,842 shares held directly by Lansdowne Capital S.A., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres.