0001462180-11-000059.txt : 20111026
0001462180-11-000059.hdr.sgml : 20111026
20111026130331
ACCESSION NUMBER: 0001462180-11-000059
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20111026
DATE AS OF CHANGE: 20111026
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BROOKLYN CAPITAL MANAGEMENT
GROUP MEMBERS: BULLDOG INVESTORS
GROUP MEMBERS: PHILLIP GOLDSTEIN
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: EQUUS TOTAL RETURN, INC.
CENTRAL INDEX KEY: 0000878932
IRS NUMBER: 760345915
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0604
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-44023
FILM NUMBER: 111158514
BUSINESS ADDRESS:
STREET 1: EIGHT GREENWAY PLAZA
STREET 2: SUITE 930
CITY: HOUSTON
STATE: TX
ZIP: 77046
BUSINESS PHONE: 7135290900
MAIL ADDRESS:
STREET 1: EIGHT GREENWAY PLAZA
STREET 2: SUITE 930
CITY: HOUSTON
STATE: TX
ZIP: 77046
FORMER COMPANY:
FORMER CONFORMED NAME: EQUUS II INC
DATE OF NAME CHANGE: 19970422
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors
CENTRAL INDEX KEY: 0001462180
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST PLAZA TWO
STREET 2: SUITE 750
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
SC 13D/A
1
thirda.txt
SCHEDULE 13D
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
10/25/11
1. NAME OF REPORTING PERSON
Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[X]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
432,282
8. SHARED VOTING POWER
169,865
9. SOLE DISPOSITIVE POWER
602,147
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
602,147
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
5.70%
14. TYPE OF REPORTING PERSON
IA
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes amendment #1 to the schedule 13d filed
August 12, 2011. Except as specifically set forth herein, the
schedule 13d remains unmodified.
ITEM 4. PURPOSE OF TRANSACTION
The Reporting Persons believe the board of directors can be more effective in
enhancing shareholder value. To that end, the Reporting Persons have had
conversations with several directors and large shareholders about reducing
the size of the board of directors and of designating a representative to
serve as a director. The Reporting Persons intend to continue to communicate
with the Issuer and other shareholders with respect to achieving these goals
and otherwise maximizing the value of their investment.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per the 10-Q filed on May 16, 2011 there were 10,561,646 shares of
common stock outstanding as of 05/06/2011 The percentage set forth in item 5
was derived using such number. Bulldog Investors, Brooklyn Capital Management,
Phillip Goldstein and Andrew Dakos beneficially own an aggregate of 602,147
shares of EQS or 5.70% of the outstanding shares.Power to dispose of and vote
securities resides either with Mr. Goldstein, Mr. Dakos or with clients.
c) During the past 60 days the following shares of EQS were purchased:
Date: Shares: Price:
08/26/11 4,335 2.2000
08/29/11 286 2.1800
08/29/11 7,474 2.2495
08/30/11 409 2.2158
08/31/11 5,000 2.1980
08/31/11 2,075 2.1500
09/01/11 524 2.1500
09/02/11 943 2.1000
09/06/11 1,259 2.1000
09/07/11 200 2.1500
09/08/11 43 2.1500
09/12/11 24 2.1500
10/14/11 200 2.1700
10/20/11 4,307 2.1800
d) Beneficiaries of managed accounts are entitled to receive any
dividends or sales proceeds.
e) NA
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
None.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
None.
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 10/26/2011
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos