0001140361-14-022958.txt : 20140523
0001140361-14-022958.hdr.sgml : 20140523
20140523180803
ACCESSION NUMBER: 0001140361-14-022958
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140521
FILED AS OF DATE: 20140523
DATE AS OF CHANGE: 20140523
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: Tokarz Group Advisers LLC
CENTRAL INDEX KEY: 0001379846
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00098
FILM NUMBER: 14868110
BUSINESS ADDRESS:
STREET 1: RIVERVIEW PLAZA
STREET 2: 287 BOWMAN AVENUE, 2ND FLOOR
CITY: PURCHASE
STATE: NY
ZIP: 10577
BUSINESS PHONE: 914-510-9400
MAIL ADDRESS:
STREET 1: RIVERVIEW PLAZA
STREET 2: 287 BOWMAN AVENUE, 2ND FLOOR
CITY: PURCHASE
STATE: NY
ZIP: 10577
4
1
doc1.xml
FORM 4
X0306
4
2014-05-21
0
0000878932
EQUUS TOTAL RETURN, INC.
EQS
0001379846
Tokarz Group Advisers LLC
287 BOWMAN AVENUE, 2ND FLOOR
PURCHASE
NY
10577
0
0
1
0
Common Stock
2014-05-21
4
P
0
512557
2.40
A
2624557
I
See Footnote
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 is the investment adviser of MVC and 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 its pecuniary interest therein.
/s/ Jaclyn Shapiro-Rothchild, Vice President and Secretary
2014-05-23