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Home > Insider Trading > Filing (0001391609-17-000068)

Filing Details

Accession Number:: 0001391609-17-000068
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-03-20 10:58:47
Reporting Period:: 2017-03-17

Filing Date:: 2017-03-20
Accepted Time:: 2017-03-20 10:58:47
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
1493101	Bertrand Pallieres Des	700 Louisiana Street 48Th Floor Houston TX 77002		Yes	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	15,000	$2.40	2,199,692	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Footnotes

Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 3,750 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.