0001391609-16-000394.txt : 20160303 0001391609-16-000394.hdr.sgml : 20160303 20160303183519 ACCESSION NUMBER: 0001391609-16-000394 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160225 FILED AS OF DATE: 20160303 DATE AS OF CHANGE: 20160303 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: 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 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: 161482979 MAIL ADDRESS: STREET 1: EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 4 1 f4_bertrand22616.xml OWNERSHIP DOCUMENT X0306 4 2016-02-25 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001493101 des Pallieres Bertrand 700 LOUISIANA STREET 48TH FLOOR HOUSTON TX 77002 1 0 1 0 Common stock 2016-02-25 5 P 0 E 9351 1.50 A 2179763 D Common stock 2016-02-26 5 P 0 E 4400 1.50 A 2184163 D Common stock 2016-03-02 5 P 0 E 100 1.50 A 2184263 D Common stock 2016-03-03 5 P 0 E 429 1.50 A 2184692 D Includes 1,042,017 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 Lansdowne Capital S.A., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres. /s/ Bertrand des Pallieres 2016-03-03