0001391609-17-000077.txt : 20170327
0001391609-17-000077.hdr.sgml : 20170327
20170327142857
ACCESSION NUMBER: 0001391609-17-000077
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170321
FILED AS OF DATE: 20170327
DATE AS OF CHANGE: 20170327
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: Bergner Richard F
CENTRAL INDEX KEY: 0001332047
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00098
FILM NUMBER: 17715013
MAIL ADDRESS:
STREET 1: 2727 ALLEN PARKWAY, 13TH FLOOR
CITY: HOUSTON
STATE: TX
ZIP: 77019
4/A
1
f4_bergner32117.xml
OWNERSHIP DOCUMENT
X0306
4/A
2017-03-21
2017-03-23
0
0000878932
EQUUS TOTAL RETURN, INC.
EQS
0001332047
Bergner Richard F
700 LOUISIANA STREET
48TH FLOOR
HOUSTON
TX
77002
1
0
0
0
Common stock
2017-03-21
4
P
0
19500
2.40
A
19500
D
Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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/ Richard Bergner
2017-03-23