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 The stock purchase agreements for both transactions were rescinded on July 26, 2019.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