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

Reporting relationship: 10%+ Owner
Issuer ticker: EQS
Reported as of: 29 Sep 2021
Net transaction value: -$4,426,222
SEC form: 4
Accepted by SEC: 01 Oct 2021, 15:48:19 UTC
Source filing: View source filing
Reporting owner signature: /s/ Bertrand des Pallieres

Key filing fact

Bertrand Des Pallieres filed Form 4 for EQUUS TOTAL RETURN, INC. (EQS) on 01 Oct 2021.

Key facts

This page summarizes Bertrand Des Pallieres's Form 4 filing for EQUUS TOTAL RETURN, INC. (EQS).
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 01 Oct 2021, 15:48.

Change

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: -$4,426,222.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

EQS transaction

Common Stock

Sale

Transaction value: $4,426,222
Shares: -1,844,259
Change %: -84%
Price: $2.40
Shares after: 345,433
Date: 29 Sep 2021
Ownership: I
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Bertrand Des Pallieres is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 1 footnote

Footnote 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.