0001673431-20-000046.txt : 20200717 0001673431-20-000046.hdr.sgml : 20200717 20200717183222 ACCESSION NUMBER: 0001673431-20-000046 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200716 FILED AS OF DATE: 20200717 DATE AS OF CHANGE: 20200717 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: 201034663 MAIL ADDRESS: STREET 1: C/O EQUUS TOTAL RETURN, INC. STREET 2: 8 GREENWAY PLAZA, SUITE 930 CITY: HOUSTON STATE: TX ZIP: 77046 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: 700 LOUISIANA STREET STREET 2: 48TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7135290900 MAIL ADDRESS: STREET 1: 700 LOUISIANA STREET STREET 2: 48TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: EQUUS II INC DATE OF NAME CHANGE: 19970422 4 1 f4a_bertrand122215.xml OWNERSHIP DOCUMENT X0306 4 2020-07-16 0 0000878932 EQUUS TOTAL RETURN, INC. EQS 0001493030 Hardy John A. C/O EQUUS TOTAL RETURN, INC. 700 LOUISIANA ST. 48TH FLOOR HOUSTON TX 77002 1 1 1 0 CEO Common Stock 2020-07-16 2020-07-16 4 P 0 3228024 1.17 A 3728024 I I Represents 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person. Also represents 500,000 shares held directly by the Reporting Person. This form is being filed jointly by Benton Capital Inc. and the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc. /s/ John A. Hardy 2020-07-17