SEC Form 4 · accession 0001391609-16-000394
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
Feb 25, 2016
Accepted (ET)
Mar 3, 2016 · 6:35 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 | Feb 25, 2016 | P | 9,351 | $1.50 | A | 2,179,763 | D | |
| Common stockF1 | Feb 26, 2016 | P | 4,400 | $1.50 | A | 2,184,163 | D | |
| Common stockF1 | Mar 2, 2016 | P | 100 | $1.50 | A | 2,184,263 | D | |
| Common stockF1 | Mar 3, 2016 | P | 429 | $1.50 | A | 2,184,692 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 1,042,017 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.