0001322410-21-000119.txt : 20211001 0001322410-21-000119.hdr.sgml : 20211001 20211001154819 ACCESSION NUMBER: 0001322410-21-000119 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210929 FILED AS OF DATE: 20211001 DATE AS OF CHANGE: 20211001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: des Pallieres Bertrand CENTRAL INDEX KEY: 0001493101 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 211298766 MAIL ADDRESS: STREET 1: EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EQUUS TOTAL RETURN, INC. CENTRAL INDEX KEY: 0000878932 IRS NUMBER: 760345915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 700 LOUISIANA STREET STREET 2: 48TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7135290900 MAIL ADDRESS: STREET 1: 700 LOUISIANA STREET STREET 2: 48TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: EQUUS II INC DATE OF NAME CHANGE: 19970422 4 1 ownership.xml X0306 4 2021-09-29 1 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001493101 des Pallieres Bertrand EQUUS TOTAL RETURN, INC. C/O 700 LOUISIANA ST. 48TH FLOOR HOUSTON TX 77002 0 0 1 0 Common Stock 2021-09-29 2021-09-29 4 S 0 1844259 2.40 D 345433 I I Includes 15,000 shares held directly, 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 184,600 shares held directly by Lansdowne Capital S.AA., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres. /s/ Bertrand des Pallieres 2021-10-01