0000930413-13-003953.txt : 20130726 0000930413-13-003953.hdr.sgml : 20130726 20130726170756 ACCESSION NUMBER: 0000930413-13-003953 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130722 FILED AS OF DATE: 20130726 DATE AS OF CHANGE: 20130726 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EQUUS TOTAL RETURN, INC. CENTRAL INDEX KEY: 0000878932 IRS NUMBER: 760345915 STATE OF INCORPORATION: DE FISCAL YEAR END: 0604 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: 13990344 MAIL ADDRESS: STREET 1: EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 4 1 c74639_4.xml X0306 4 2013-07-22 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001493101 des Pallieres Bertrand C/O EQUUS TOTAL RETURN, INC. 8 GREENWAY PLAZA, SUITE 930 HOUSTON TX 77046 1 0 0 0 Common Stock 2013-07-22 4 P 0 1574 1.8919 A 2018872 D Common Stock 2013-07-23 4 P 0 1492 1.8941 A 2020364 D Includes 60,639 shares held directly by the Reporting Person and 970,087 shares held directly by Mobiquity Investments Limited ("Mobiquity"). Mobiquity, a Washington investment holding company, is a wholly-owned subsidiary of Versatile Systems, Inc., a Canadian corporation ("Versatile"). The Reporting Person is a director and minority stockholder of Versatile. The Reporting Person disclaims beneficial ownership in the shares except to the extent, if any, of his pecuniary interest therein. Includes 986,842 shares held by Lansdowne Capital S.A., a Luxembourg company that is indirectly wholly owned by the Reporting Person. /s/ Fraser Atkinson, Attorney-in-fact 2013-07-26