Form Type: 4

SEC EDGAR Link
Acccession Number:0001140361-19-014956
Date:2019-08-12
Issuer: EQUUS TOTAL RETURN, INC. (EQS)
Original Submission Date:

Reporting Person:

TOKARZ MICHAEL T
287 BOWMAN AVE., 2ND FLOOR
PURCHASE, NY 10577

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.001 PER SHARE 2019-08-12 S 608,310 d $1.62 3,228,024 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the shares are held by mvc capital, inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the investment company act of 1940 ("mvc"). the reporting person controls mvc's investment adviser, which makes investment decisions on behalf of mvc pursuant to an investment advisory agreement. the reporting person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.

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