Bertrand Des Pallieres - 29 Sep 2021 Form 4 Insider Report for EQUUS TOTAL RETURN, INC. (EQS)

Role
10%+ Owner
Signature
/s/ Bertrand des Pallieres
Issuer symbol
EQS
Transactions as of
29 Sep 2021
Net transactions value
-$4,426,222
Form type
4
Filing time
01 Oct 2021, 15:48:19 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQS Common Stock Sale $4,426,222 -1,844,259 -84% $2.40 345,433 29 Sep 2021 I F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Bertrand Des Pallieres is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Includes 15,000 shares held directly, also includes 145,833 shares held directly by SPQR Capital Holdings S.A. a Luxembourg societe anonyme in which Mr. des Pallieres is a minority stockholder and serves as a director. Also includes 184,600 shares held directly by Lansdowne Capital S.AA., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres.