-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VaqUjX7DxvfrdMKfe9R7LbK804JjYXSlXQZ5o47ioagFBJpECS2q5kHwHwqUJ2p8 mIzfBfNzA6/FI59sSRJ19g== 0001383726-07-000003.txt : 20071001 0001383726-07-000003.hdr.sgml : 20071001 20071001174629 ACCESSION NUMBER: 0001383726-07-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070927 FILED AS OF DATE: 20071001 DATE AS OF CHANGE: 20071001 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: 2727 ALLEN PKWY STREET 2: 13TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77019 BUSINESS PHONE: 7135290900 MAIL ADDRESS: STREET 1: 2727 ALLEN PARKWAY STREET 2: 13TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77019 FORMER COMPANY: FORMER CONFORMED NAME: EQUUS II INC DATE OF NAME CHANGE: 19970422 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOUGLASS SAM P CENTRAL INDEX KEY: 0001181754 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 071147063 MAIL ADDRESS: STREET 1: 2929 ALLEN PARKWAY STREET 2: STE 2500 CITY: HOUSTON STATE: TX ZIP: 77019 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2007-09-27 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001181754 DOUGLASS SAM P 2727 ALLEN PARKWAY 13TH FLOOR HOUSTON TX 77019 1 1 0 0 Co-Chairman Common Stock 2007-09-27 4 J 0 189716 7.74 A 490582 I See Footnote Common Stock 22815 D Common Stock 46446 I Trust of which Mr. Douglass is the beneficiary Common Stock 33150 I Held by Mr. Douglass' spouse Common Stock 47919 I Trust of which Mr. Douglass' spouse is the beneficiary The securities were previously pledged to the Douglass Trust IV FBO Brooke Douglass and the the Douglass Trust IV FBO Sam Preston Douglass Jr. as collateral to secure certain promissory notes and transferred to the Douglass Trust IV FBO Brooke Douglass and the Douglass Trust IV FBO Sam Preston Douglass, Jr. in partial settlement of such notes. The settlement included $1,468,401.84 for the transferred securities and the issuance of additional promissory notes. Trusts FBO Douglass family members of which Mr. Douglass is trustee and lifetime beneficiary. Mr. Douglass disclaims beneficial ownership of all shares not directly owned by him. Sam P. Douglass 2007-10-01 -----END PRIVACY-ENHANCED MESSAGE-----