Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
EQUUS TOTAL RETURN, INC.
Report date September 29, 2021 · Filed October 01, 2021
Section 16 reporting ended · disclosed 2021-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectI | 345,433 |
Reported balance
After 2021-09-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-09-29 · Sale · Disposed 1,844,259 · Balance 345,433 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. |
Filing footnotes · ownership attribution and instrument terms
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 29, 2021 Filed Oct 1, 2021 19:48 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock | 1,844,259 | $2.40 | $4,426,221.60 |
DisclosureSEC source: 0001322410-21-000119 · ownership.xml · nonDerivative · entry 1 des Pallieres Bertrand · CIK 0001493101 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · I Disclosed balance after: 345,433 F1 · ownership.nature: 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. Read SEC document |
| March 17, 2017 Filed Mar 20, 2017 14:58 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | PurchaseCommon stock | 15,000 | $2.40 | $36,000.00 |
DisclosureSEC source: 0001391609-17-000068 · f4_pallieres31717.xml · nonDerivative · entry 1 des Pallieres Bertrand · CIK 0001493101 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,199,692 F1 · shares: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 3,750 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.