Comparable stake leader
John A. Hardy
SEC ownership of EQUUS TOTAL RETURN, INC.
Top holders, 13D/G large-stake signals, insider positions, and transaction flow tied to CIK 0000878932.
Disclosed value leader
John A. Hardy
Comparable rows
0/13
Latest evidence
31 Mar 2026
- Public ticker
- EQS on NYSE
- Parsed ownership sources
- 3/4/5 and 13F
- Largest SEC-reported holder
- John A. Hardy
- Latest parsed ownership date
- 31 Mar 2026
- Issuer CIK
- 0000878932
- Issuer location
- Houston, TX
Ownership snapshot
CIK-linked ownership evidence from parsed SEC filings.
1 signal
Issuer
Names, identifiers, and filing context for this profile.
2 identity fields
Ownership snapshot
Top shareholders of EQUUS TOTAL RETURN, INC. (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
John A. Hardy
Disclosed value leader
John A. Hardy
Comparable rows
0/13
Latest evidence
31 Mar 2026
3/4/5
13F
Highest disclosed value: $9,692,882
13 rows are not safely comparable across share classes.
Showing 1-8 of 13 holder rows.
Quick read
John A. Hardy has the largest disclosed position value at $9.69M.
0 of 13 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens John A. Hardy's linked filing trail.
Disclosed position value
Top 5
John A. Hardy
$9.69M
Tokarz Michael T.
$4.69M
Bertrand Des Pallieres
$511.2K
Kenneth I. Denos
$834.8K
KNAUSS ROBERT L
$138.6K
Value bars compare disclosed positions; verify each figure against the linked filing evidence.
Detailed SEC evidence table Showing 1-8 of 13 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| John A. Hardy |
3/4/5
CEO, Director, 10%+ Owner
|
—
class O/S missing
|
$9,692,882
3,861,706 shares
|
— | 16 Sep 2025 |
| Tokarz Michael T. |
3/4/5
10%+ Owner
|
—
class O/S missing
|
$4,694,911
3,172,237 shares
|
— | 28 Sep 2021 |
| Bertrand Des Pallieres |
3/4/5
10%+ Owner
|
—
class O/S missing
|
$511,241
345,433 shares
|
— | 29 Sep 2021 |
| Kenneth I. Denos |
3/4/5
Secretary, Director
|
—
class O/S missing
|
$834,813
332,595 shares
|
— | 16 Sep 2025 |
| KNAUSS ROBERT L |
3/4/5
Director
|
—
class O/S missing
|
$138,632
93,670 shares
|
— | 14 Jul 2023 |
| MORGAN STANLEY |
13F
Company
|
—
class O/S missing
|
$65,627
35,666 shares
|
— | 31 Mar 2026 |
| SHUFRO ROSE & CO LLC |
13F
Company
|
—
class O/S missing
|
$57,569
31,287 shares
|
— | 31 Mar 2026 |
| MSH Capital Advisors LLC |
13F
Company
|
—
class O/S missing
|
$39,865
21,666 shares
|
— | 31 Mar 2026 |
How to read this table
Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
Forms 3/4/5 flow
Insider trading overview
Insider buy and sell flow is broadly balanced over the last 12 months. No Buy or Sell transactions have been reported since 08 Jun 2025.
Buys
$0
Insiders: 0
Sells
$0
Insiders: 0
Net
$0
Shares: 0
Window
Last 12 months
4 rolling buckets
Buy value
Sell value
Shares: 0
Shares: 0
| Window (months) | Buy shares | Sell shares | Buy value | Sell value | Net value |
|---|---|---|---|---|---|
| 0-3 | 0 | 0 | $0 | $0 | $0 |
| 3-6 | 0 | 0 | $0 | $0 | $0 |
| 6-9 | 0 | 0 | $0 | $0 | $0 |
| 9-12 | 0 | 0 | $0 | $0 | $0 |
Reporting owners
Insider holders from Forms 3/4/5
Showing 1-5 of 5 reporting-owner rows connected to EQUUS TOTAL RETURN, INC.. Open a relationship link for the CIK-to-CIK filing trail.
Rows
5
Largest Forms 3/4/5 holder
John A. Hardy
Net 12M change
$0
Latest report
16 Sep 2025
| Name | Relationship | Holdings Value | Past Year Net Change | Change % | Valuation | Report Date |
|---|---|---|---|---|---|---|
| John A. Hardy | CEO, Director, 10%+ Owner | $9,692,882 | Mixed | 16 Sep 2025 | ||
| Tokarz Michael T. | 10%+ Owner | $4,694,911 | Mixed | 28 Sep 2021 | ||
| Kenneth I. Denos | Secretary, Director | $834,813 | Mixed | 16 Sep 2025 | ||
| Bertrand Des Pallieres | 10%+ Owner | $511,241 | Mixed | 29 Sep 2021 | ||
| KNAUSS ROBERT L | Director | $138,632 | Filing P/S | 14 Jul 2023 |
Recent insider transactions for EQUUS TOTAL RETURN, INC.
Showing up to 300 recent insider transactions from the last 12 months.
| Insider | Symbol | Class | Transaction | % | SEC-reported value | SEC-reported price | Shares | Shares owned | Date | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|
| Kenneth I. Denos | EQS | Common | Award | 25.2% | 66,841 | 332,595 | 16 Sep 2025 | I | ||
| John A. Hardy | EQS | Common Stock | Award | 3.59% | 133,682 | 3,861,706 | 16 Sep 2025 | I | ||
| Kenneth I. Denos | EQS | Common Stock | Award | 302.7% | 250,000 | 332,595 | 16 Sep 2025 | I |
* marks a reported price that did not pass the local price check.