0001140361-20-016349.txt : 20200717 0001140361-20-016349.hdr.sgml : 20200717 20200717181050 ACCESSION NUMBER: 0001140361-20-016349 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200716 FILED AS OF DATE: 20200717 DATE AS OF CHANGE: 20200717 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: 201034610 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 2020-07-16 true 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001206636 TOKARZ MICHAEL T 287 BOWMAN AVE., 2ND FLOOR PURCHASE NY 10577 true Common Stock, par value $0.001 per share 2020-07-16 4 S 0 3228024 1.17 D 0 I See Footnote The shares were 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. /s/ Michael T. Tokarz 2020-07-17