SEC Form 4 · accession 0001391609-16-000350
EQUUS TOTAL RETURN, INC. · EQS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pallieres Bertrand des
Director · 10% Owner
Period of report
Jan 20, 2016
Accepted (ET)
Jan 22, 2016 · 12:26 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 | Jan 20, 2016 | P | 25,000 | $1.55 | A | 2,161,835 | D | |
| Common stockF1 | Jan 20, 2016 | P | 8,400 | $1.50 | A | 2,170,235 | D | |
| Common stockF1 | Jan 21, 2016 | P | 177 | $1.50 | A | 2,170,412 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 1,027,737 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 Lamsdowne Capital S.A., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres.