0001140361-19-013528.txt : 20190726 0001140361-19-013528.hdr.sgml : 20190726 20190726211232 ACCESSION NUMBER: 0001140361-19-013528 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190724 FILED AS OF DATE: 20190726 DATE AS OF CHANGE: 20190726 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: 19979202 MAIL ADDRESS: STREET 1: C/O KKR STREET 2: 9 W 57TH ST 41ST FL CITY: NEW YORK STATE: NY ZIP: 10019 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: 700 LOUISIANA STREET STREET 2: 48TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7135290900 MAIL ADDRESS: STREET 1: 700 LOUISIANA STREET STREET 2: 48TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: EQUUS II INC DATE OF NAME CHANGE: 19970422 4 1 form4.xml FORM 4 X0306 4 2019-07-24 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001206636 TOKARZ MICHAEL T C/O MVC CAPITAL, INC., 287 BOWMAN AVE., 2ND FLOOR PURCHASE NY 10577 true Common Stock, par value $0.001 per share 2019-07-24 4 S 0 608310 1.7 D 3836334 I See Footnote Common Stock, par value $0.001 per share 2019-07-24 4 S 0 608310 1.7 D 3228024 I See Footnote Common Stock, par value $0.001 per share 2019-07-26 4 J 0 608310 1.7 A 3836334 I See Footnote Common Stock, par value $0.001 per share 2019-07-26 4 J 0 608310 1.7 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. On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. /s/ Michael T Tokarz 2019-07-26