Filing Details

Accession Number:
0001391609-17-000061
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-03-17 16:37:08
Reporting Period:
2017-03-17
Filing Date:
2017-03-17
Accepted Time:
2017-03-17 16:37:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
878932 Equus Total Return Inc. EQS () 760345915
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1493030 A. John Hardy C/O Equus Total Return, Inc.
700 Louisiana Street, 48Th Floor
Houston TX 77002
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-03-17 500,000 $2.40 500,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 125,000 shares of restricted stock are vested, with the remainder vesting ratably on an annual basis after one, two, and three years from the date of grant. Vesting is accelerated in the event of constructive termination or termination without "cause" as such term is defined by agreement between the Registrant and the Reporting Person.