0001391609-17-000059.txt : 20170317
0001391609-17-000059.hdr.sgml : 20170317
20170317163514
ACCESSION NUMBER: 0001391609-17-000059
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170317
FILED AS OF DATE: 20170317
DATE AS OF CHANGE: 20170317
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: 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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Denos Kenneth I
CENTRAL INDEX KEY: 0001322410
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00098
FILM NUMBER: 17698502
MAIL ADDRESS:
STREET 1: 10757 SOUTH RIVER FRONT PARKWAY
STREET 2: SUITE 125
CITY: SOUTH JORDAN
STATE: UT
ZIP: 84095
4
1
f4_denos31617.xml
OWNERSHIP DOCUMENT
X0306
4
2017-03-17
0
0000878932
EQUUS TOTAL RETURN, INC.
EQS
0001322410
Denos Kenneth I
700 LOUISIANA STREET
48TH FLOOR
HOUSTON
TX
77002
1
1
0
0
Secretary
Common stock
2017-03-17
4
P
0
250000
2.40
A
265754
D
Represents an award of restricted stock pursuant to the Registrant's 2016 Equity Incentive Plan. 62,500 shares of restricted stock are vested, with the remainder vesting ratably on an annual basis after one, two, and three years from the date of grant. Vesting is accelerated in the event of constructive termination or termination without "casue", as such term is defined by agreement between the Registrant and the Reporting Person.
/s/ Kenneth I. Denos
2017-03-17