organization · Reporting owner
Tokarz Group Advisers LLC
Disclosed activity across 1 company
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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 July 16, 2020 · Filed July 17, 2020
Section 16 reporting ended · disclosed 2020-07-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2020-07-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-07-16 · Sale · Disposed 3,228,024 · Balance 0 F1: The shares were 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 is the investment adviser of MVC and 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 its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were 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 is the investment adviser of MVC and 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 its pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| July 16, 2020 Filed Jul 17, 2020 22:15 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 3,228,024 | $1.17 | $3,776,788.08 |
DisclosureSEC source: 0001140361-20-016352 · form4.xml · nonDerivative · entry 1 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · ownership.nature: The shares were 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 is the investment adviser of MVC and 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 its pecuniary interest therein. Read SEC document |
| August 12, 2019 Filed Aug 13, 2019 20:44 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.62 | $985,462.20 |
DisclosureSEC source: 0001140361-19-014957 · form4.xml · nonDerivative · entry 1 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,228,024 F1 · ownership.nature: 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 is the investment adviser of MVC and 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 its pecuniary interest therein. Read SEC document |
| July 29, 2019 Filed Jul 30, 2019 23:02 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001567619-19-015480 · form4.xml · nonDerivative · entry 1 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,836,334 F1 · ownership.nature: 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 is the investment adviser of MVC and 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 its pecuniary interest therein. Read SEC document |
| July 26, 2019 Filed Jul 27, 2019 01:09 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | OtherCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013526 · form4.xml · nonDerivative · entry 4 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,444,644 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: 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 is the investment adviser of MVC and 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 its pecuniary interest therein. Read SEC document |
| July 26, 2019 Filed Jul 27, 2019 01:09 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | OtherCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013526 · form4.xml · nonDerivative · entry 3 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,836,334 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: 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 is the investment adviser of MVC and 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 its pecuniary interest therein. Read SEC document |
| July 24, 2019 Filed Jul 27, 2019 01:09 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013526 · form4.xml · nonDerivative · entry 2 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,228,024 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: 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 is the investment adviser of MVC and 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 its pecuniary interest therein. Read SEC document |
| July 24, 2019 Filed Jul 27, 2019 01:09 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | SaleCommon Stock, par value $0.001 per share | 608,310 | $1.70 | $1,034,127.00 |
DisclosureSEC source: 0001140361-19-013526 · form4.xml · nonDerivative · entry 1 Tokarz Group Advisers LLC · CIK 0001379846 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,836,334 F2 · price: On July 24, 2019 MVC entered into stock purchase agreements to sell an aggregate of 1,216,620 shares in two separate private transactions. The stock purchase agreements for both transactions were rescinded on July 26, 2019. F1 · ownership.nature: 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 is the investment adviser of MVC and 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 its pecuniary interest therein. 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.