Filing Details
- Accession Number:
- 0001391609-17-000068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-20 10:58:47
- Reporting Period:
- 2017-03-17
- Filing Date:
- 2017-03-20
- Accepted Time:
- 2017-03-20 10:58:47
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-03-17 | 15,000 | $2.40 | 2,199,692 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Footnotes
- Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 3,750 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.
Billionaire Hedge Funds
