4   0001391609-17-000071

Ownership: Statement of changes in beneficial ownership. Insider trading ( Directors, Officers, Significant Shareholders )

filing date
March 20, 2017
period ending
March 17, 2017
date of filing date change
March 20, 2017
Signed By
Fraser Atkinson
accession number
0001391609-17-000071
type
4
public document count
1
Key documents and exhibits
Link: Type Id filename
OWNERSHIP DOCUMENT 4 1 f4_atkinson31617.xml
Issuer:
EQUUS TOTAL RETURN, INC. [EQS]
Reporting Owner:
Atkinson Fraser Director,
Date of Event Req Stmt
2017-03-17
Type Title Conv/Exer price Trans. date Deemed Exe date Trans Form Type Trans Code Eqty swap? Footnote id Trans timelines # Shares Value Total Value Price / share Acq or Disp Date exercisable Expiration date # Owned post trans Value Owned post trans Underlying security title # Underlying securities Value underlying securities Direct or Indirect own Nature indirect own
Non-Derriv. transCommon stock2017-03-174P : Open market or private purchaseFalse195002.40A21389D
F1
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.
Signed by
[ /s/ Fraser Atkinson ] on 2017-03-17
Type Filing Company SIC Rel IRS # State of INC FY End Mailing address Former Filing Vals
issuer
EQUUS TOTAL RETURN, INC.
Cik: 0000878932
EIGHT GREENWAY PLAZA
SUITE 930
HOUSTON,  TX,  77046
  USA
760345915 USA [ DE ] 1231
EIGHT GREENWAY PLAZA
SUITE 930
HOUSTON,  TX,  77046
  USA
April 22, 1997EQUUS II INC
Type Filing Reporting Owner Company SIC Rel IRS # State of INC FY End Mailing address Former Filing Vals
reporting owner
Atkinson Fraser ( CIK: 0001492886 )

Cik:

C/O EQUUS TOTAL RETURN, INC.
8 GREENWAY PLAZA, SUITE 930
HOUSTON,  TX,  77046
  USA
form type4
act34
file number814-00098
film number17701293