SEC Form 4/A · accession 0001391609-17-000077
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
Richard F Bergner
Director
Period of report
Mar 21, 2017
Accepted (ET)
Mar 27, 2017 · 2:28 pm EDT
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 | Mar 21, 2017 | P | 19,500 | $2.40 | A | 19,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 shares of restricted stock are vested, with the remainder vesting ratably on an annual basis after one, two, and three years from the date of grant. Vesting is accelerated in the event of constructive termination or termination without "cause" as such term is defined by agreement between the Registrant and the Reporting Person.