<SEC-DOCUMENT>0001391609-17-000049-index.html : 20170313 <SEC-HEADER>0001391609-17-000049.hdr.sgml : 20170313 <ACCEPTANCE-DATETIME>20170313115551 ACCESSION NUMBER: 0001391609-17-000049 CONFORMED SUBMISSION TYPE: 10-K PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170313 DATE AS OF CHANGE: 20170313 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EQUUS TOTAL RETURN, INC. CENTRAL INDEX KEY: 0000878932 IRS NUMBER: 760345915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 17684457 BUSINESS ADDRESS: STREET 1: EIGHT GREENWAY PLAZA STREET 2: SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 BUSINESS PHONE: 7135290900 MAIL ADDRESS: STREET 1: EIGHT GREENWAY PLAZA STREET 2: SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 FORMER COMPANY: FORMER CONFORMED NAME: EQUUS II INC DATE OF NAME CHANGE: 19970422 </SEC-HEADER> <DOCUMENT> <TYPE>10-K <SEQUENCE>1 <FILENAME>f10k_equus123116.htm <DESCRIPTION>FORM 10-K <TEXT> Document 1 - file: f10k_equus123116.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-31.1 <SEQUENCE>2 <FILENAME>ex31_1302cert.htm <DESCRIPTION>302 CERTIFICATION <TEXT> Document 2 - file: ex31_1302cert.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-31.2 <SEQUENCE>3 <FILENAME>ex31_2302certification.htm <DESCRIPTION>302 CERTIFICATION <TEXT> Document 3 - file: ex31_2302certification.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-32.1 <SEQUENCE>4 <FILENAME>ex32_1906certification.htm <DESCRIPTION>906 CERTIFICATION <TEXT> Document 4 - file: ex32_1906certification.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-32.2 <SEQUENCE>5 <FILENAME>ex32_2906certification.htm <DESCRIPTION>906 CERTIFICATION <TEXT> Document 5 - file: ex32_2906certification.htm
</DOCUMENT> </SEC-DOCUMENT>