0001391609-17-000061.txt : 20170317 0001391609-17-000061.hdr.sgml : 20170317 20170317163708 ACCESSION NUMBER: 0001391609-17-000061 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: Hardy John A. CENTRAL INDEX KEY: 0001493030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00098 FILM NUMBER: 17698527 MAIL ADDRESS: STREET 1: C/O EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 4 1 f4_hardy031717.xml OWNERSHIP DOCUMENT X0306 4 2017-03-17 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001493030 Hardy John A. C/O EQUUS TOTAL RETURN, INC. 700 LOUISIANA STREET, 48TH FLOOR HOUSTON TX 77002 1 1 0 0 Chief Executive Officer Common Stock 2017-03-17 4 P 0 500000 2.40 A 500000 D Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 125,000 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 "cause" as such term is defined by agreement between the Registrant and the Reporting Person. /s/ John A. Hardy 2017-03-17