-----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, JV8rLKbmkTA7BJg2WCVIXDW84GuiUp5YHMLRWcBn2qkWMYi4lUN37mMzYM2/j0Ht rqKw9bcWBN/auzAql3wEmg== 0001391609-07-000047.txt : 20071002 0001391609-07-000047.hdr.sgml : 20071002 20071002114654 ACCESSION NUMBER: 0001391609-07-000047 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, Clayton & Co., Inc. CENTRAL INDEX KEY: 0001324343 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 071148217 BUSINESS ADDRESS: STREET 1: 11585 SOUTH STATE STREET STREET 2: SUITE 102 CITY: DRAPER STATE: UT ZIP: 84020 BUSINESS PHONE: 801-816-2511 MAIL ADDRESS: STREET 1: 11585 SOUTH STATE STREET STREET 2: SUITE 102 CITY: DRAPER STATE: UT ZIP: 84020 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0202 4/A 2007-09-27 2007-09-27 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001324343 Moore, Clayton & Co., Inc. 10757 SOUTH RIVER FRONT PARKWAY SUITE 125 SOUTH JORDAN UT 84095 0 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. Kenneth I. Denos 2007-09-27 -----END PRIVACY-ENHANCED MESSAGE-----