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