0001322410-21-000069.txt : 20210503 0001322410-21-000069.hdr.sgml : 20210503 20210503165721 ACCESSION NUMBER: 0001322410-21-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210423 FILED AS OF DATE: 20210503 DATE AS OF CHANGE: 20210503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Atkinson Fraser CENTRAL INDEX KEY: 0001492886 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 21884423 MAIL ADDRESS: STREET 1: C/O EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 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 ownership.xml X0306 4 2021-04-23 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001492886 Atkinson Fraser C/O EQUUS TOTAL RETURN, INC. 700 LOUISIANA STREET 48TH FLOOR HOUSTON TX 77002 1 0 0 0 Common Stock 2021-04-23 4 P 0 18016 1.89 A 39405 D Common Stock 2021-04-26 4 P 0 1352 1.90 A 40757 D Common Stock 2021-04-27 4 P 0 100 1.90 A 40857 D Common Stock 2021-04-28 4 P 0 700 1.89 A 41557 D Common Stock 2021-04-29 4 P 0 4034 1.89 A 45591 D /s/ Fraser Atkinson 2021-04-30