-----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, BSbAfcO+MDmnk7UiPk9PPDInxkHqPhPECrjRlMCE6RCuWqgpac9L/zE2Rvm0ONPe 6hqsVHXYyEoWvd6zEUWfVA== 0001391609-09-000099.txt : 20091007 0001391609-09-000099.hdr.sgml : 20091007 20091007165655 ACCESSION NUMBER: 0001391609-09-000099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091005 FILED AS OF DATE: 20091007 DATE AS OF CHANGE: 20091007 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 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 091110504 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 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2009-10-05 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001324343 Moore, Clayton & Co., Inc. 10757 RIVER FRONT PARKWAY SUITE 125 SOUTH JORDAN UT 84095 1 0 0 0 Equus Total Return, Inc. 2009-10-05 2009-10-05 4 S 0 205889 3.26 D 151569 I See Footnote This Form 4 is filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended ("Exchange Act"), to report the sale of 205,889 shares by MCC Europe Limited ("MCCE"), a wholly-owned subsidiary of Moore, Clayton & Co., Inc. ("MCC"). Kenneth Denos, a member of the Board of Directors of the Issuer, is the Chief Executive Officer of MCC. MCC's sale of shares are attributed to an involuntary transfer of collateral to a secured creditor. Kenneth I. Denos 2009-10-06 -----END PRIVACY-ENHANCED MESSAGE-----