0001504304-15-000103.txt : 20150723
0001504304-15-000103.hdr.sgml : 20150723
20150723114801
ACCESSION NUMBER: 0001504304-15-000103
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20150723
DATE AS OF CHANGE: 20150723
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
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: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-44023
FILM NUMBER: 151001672
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, LLC
CENTRAL INDEX KEY: 0001504304
IRS NUMBER: 270926182
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
BUSINESS PHONE: 201 556-0092
MAIL ADDRESS:
STREET 1: PARK 80 WEST - PLAZA TWO
STREET 2: 250 PEHLE AVE. SUITE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
FORMER COMPANY:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
SC 13D/A
1
thirda.txt
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
7/21/15
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
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) [X]
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
334,682
8. SHARED VOTING POWER
232,316
9. SOLE DISPOSITIVE POWER
334,682
_______________________________________________________
10. SHARED DISPOSITIVE POWER
232,316
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
566,998
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
4.47%
14. TYPE OF REPORTING PERSON
IA
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
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) [X]
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
334,682
8. SHARED VOTING POWER
232,316
9. SOLE DISPOSITIVE POWER
334,682
_______________________________________________________
10. SHARED DISPOSITIVE POWER
232,316
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
566,998
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
4.47%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
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) [X]
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
334,682
8. SHARED VOTING POWER
232,316
9. SOLE DISPOSITIVE POWER
334,682
_______________________________________________________
10. SHARED DISPOSITIVE POWER
232,316
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
566,998
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
4.47%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
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) [X]
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
334,682
8. SHARED VOTING POWER
232,316
9. SOLE DISPOSITIVE POWER
334,682
_______________________________________________________
10. SHARED DISPOSITIVE POWER
232,316
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
566,998
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
4.47%
14. TYPE OF REPORTING PERSON
IN
_____________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes amendment #3 to the schedule 13d filed
August 12, 2011. Except as specifically set forth herein, the
schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per the 10-Q filed on May 14, 2015, there were 12,673,646 shares of
common stock outstanding as of May 14, 2015. The percentages set forth
herein were derived using such number. Phillip Goldstein, Andrew Dakos and
Steven Samuels own Bulldog Investors, LLC, a registered investment advisor.
As of July 22, 2015, Bulldog Investors, LLC is deemed to be the beneficial
owner of 566,998 shares of CMK (representing 4.47% of EQS's outstanding
shares) solely by virtue of Bulldog Investors LLC's power to direct the vote
of,and dispose of, these shares. These 566,998 shares of EQS include 334,682
shares (representing 2.63% of EQS's outstanding shares) that are beneficially
owned by Mr. Goldstein and the following entities over which Messrs. Goldstein,
Dakos and Samuels exercise control: Opportunity Partners LP, Calapasas West
Partners LP, Full Value Special Situations Fund, LP, Full Value Offshore Fund,
Ltd., Full Value Partners, LP, and MCM Opportunity Partners, LP (collectively,
"Bulldog Investors Group of Funds"). Bulldog Investors Group of Funds and Mr.
Goldstein may be deemed to constitute a group. All other shares included in the
aforementioned 566,998 shares of EQS beneficially owned by Bulldog Investors,
LLC (solely by virtue of its power to sell or direct the vote of these shares)
are also beneficially owned by clients of Bulldog Investors, LLC who are not
members of any group. The total number of these "non-group" shares is 232,316
shares (representing 1.84% of EQS's outstanding shares).
(b)Bulldog Investors,LLC has sole power to dispose of and vote 334,682 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 232,316 shares.
Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more
than 5% of EQS's shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) During the last 60 days no shares of EQS were purchased or sold.
d) Clients of Bulldog Investors, LLC 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: 7/23/15
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels