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