0000930413-15-004389.txt : 20151120 0000930413-15-004389.hdr.sgml : 20151120 20151120200553 ACCESSION NUMBER: 0000930413-15-004389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151118 FILED AS OF DATE: 20151120 DATE AS OF CHANGE: 20151120 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: 151248141 MAIL ADDRESS: STREET 1: EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 4 1 c83109_4.xml X0306 4 2015-11-18 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 2015-11-18 5 P 0 E 25000 1.5 A 2573740 D Common Stock 2015-11-20 5 P 0 E 3638 1.45 A 2577378 D Includes 948,238 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. Includes 951,876 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 2015-11-20