-----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, LX69ascB7PHk8bKKPNnLUvi73KXaPk/S49whePMFOo2tsDz33fmpsyZagIGo8eVP g9W27zdxY5wG9yZl0VqlqA== 0001391609-07-000045.txt : 20071002 0001391609-07-000045.hdr.sgml : 20071002 20071002113021 ACCESSION NUMBER: 0001391609-07-000045 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070927 FILED AS OF DATE: 20071002 DATE AS OF CHANGE: 20071002 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: Moore Anthony R CENTRAL INDEX KEY: 0001332049 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 071148116 BUSINESS ADDRESS: BUSINESS PHONE: 713-529-0900 MAIL ADDRESS: STREET 1: 2727 ALLEN PARKWAY, 13TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77019 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0202 4/A 2007-09-27 2007-09-27 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001332049 Moore Anthony R 2727 ALLEN PARKWAY, 13TH FLOOR HOUSTON TX 77019 1 0 1 0 Equus Total Return, Inc. 2007-09-27 2007-09-27 4 S 0 189716 7.74 D 1273252 I See footnote The securities were previously pledged to the Douglass Trust IV FBO Brooke Douglass and the Douglass Trust IV FBO Sam Preston Douglass Jr. as collateral to secure a certain promissory note 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. Anthony Moore 2007-10-02 -----END PRIVACY-ENHANCED MESSAGE-----