Filing Details
- Accession Number:
- 0000930413-13-004082
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-02 17:31:03
- Reporting Period:
- 2013-07-31
- Filing Date:
- 2013-08-02
- Accepted Time:
- 2013-08-02 17:31:03
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
878932 | Equus Total Return Inc. | EQS | () | 760345915 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1493101 | Bertrand Pallieres Des | Equus Total Return, Inc. 8 Greenway Plaza, Suite 930 Houston TX 77046 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-07-31 | 859,803 | $2.40 | 2,880,167 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-07-31 | 145,833 | $2.40 | 3,026,000 | No | 4 | P | Indirect | By SPQR Capital Holdings S.A. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Indirect | By SPQR Capital Holdings S.A. |
Footnotes
- Includes 60,369 shares held directly by the Reporting Person and 970,087 shares held directly by Mobiquity Investments Limited ("Mobiquity"). Mobiquity, a Washington investment holding company, is a wholly-owned subsidiary of Versatile Systems Inc., a Canadian corporation ("Versatile"). The Reporting Person is a director and minority stockholder of Versatile. The Reporting Person disclaims beneficial ownership in the shares except to the extent, if any, of his pecuniary interest therein.
- Includes 986,842 shares held by Lansdowne Capital S.A., a Luxembourg company that is indirectly wholly owned by the Reporting Person.
- Includes 145,833 shares held directly by SPQR Capital Holdings S.A., a Luxembourg company ("SPQR"). The Reporting Person is a director and minority stockholder of SPQR. The Reporting Person disclaims beneficial ownership in the shares except to the extent, if any, of his pecuniary interest therein.