0001140361-14-025810.txt : 20140624 0001140361-14-025810.hdr.sgml : 20140624 20140616174935 ACCESSION NUMBER: 0001140361-14-025810 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140612 FILED AS OF DATE: 20140616 DATE AS OF CHANGE: 20140616 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: 14923755 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 2014-06-12 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 2014-06-12 4 P 0 970087 2.45 A 4444644 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/ Scott Schuenke, Chief Financial Officer 2014-06-16