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Home > Insider Trading > Filing (0001391609-16-000350)

Filing Details

Accession Number:: 0001391609-16-000350
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-01-22 12:26:40
Reporting Period:: 2016-01-20

Filing Date:: 2016-01-22
Accepted Time:: 2016-01-22 12:26:40
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	700 Louisiana Street 48Th Floor Houston TX 77002		Yes	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-01-20	25,000	$1.55	2,161,835	No	5	P	Direct
Common Stock	Acquisiton	2016-01-20	8,400	$1.50	2,170,235	No	5	P	Direct
Common Stock	Acquisiton	2016-01-21	177	$1.50	2,170,412	No	5	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	5	P	Direct
No	5	P	Direct
No	5	P	Direct

Footnotes

Includes 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.