Filing Details

Accession Number:
0001140361-19-013528
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-07-26 21:12:32
Reporting Period:
2019-07-24
Accepted Time:
2019-07-26 21:12:32
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
1206636 T Michael Tokarz C/O Mvc Capital, Inc.,
287 Bowman Ave., 2Nd Floor
Purchase NY 10577
No No 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, Par Value $0.001 Per Share Disposition 2019-07-24 608,310 $1.70 3,836,334 No 4 S Indirect See Footnote
Common Stock, Par Value $0.001 Per Share Disposition 2019-07-24 608,310 $1.70 3,228,024 No 4 S Indirect See Footnote
Common Stock, Par Value $0.001 Per Share Acquisiton 2019-07-26 608,310 $1.70 3,836,334 No 4 J Indirect See Footnote
Common Stock, Par Value $0.001 Per Share Acquisiton 2019-07-26 608,310 $1.70 4,444,644 No 4 J Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 J Indirect See Footnote
No 4 J Indirect See Footnote
Footnotes
  1. The shares are held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
  2. On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019.