0001140361-14-025812.txt : 20140624 0001140361-14-025812.hdr.sgml : 20140624 20140616175205 ACCESSION NUMBER: 0001140361-14-025812 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 MICHAEL T CENTRAL INDEX KEY: 0001206636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 14923758 MAIL ADDRESS: STREET 1: C/O KKR STREET 2: 9 W 57TH ST 41ST FL CITY: NEW YORK STATE: NY ZIP: 10019 4 1 doc1.xml FORM 4 X0306 4 2014-06-12 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001206636 TOKARZ MICHAEL T 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 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. Michael T. Tokarz 2014-06-16