Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EQUUS TOTAL RETURN, INC.EQS · Entity 7826 | Director | March 21, 2017 | March 27, 2017 |
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.
EQUUS TOTAL RETURN, INC.
Report date March 21, 2017 · Filed March 27, 2017 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 19,500 |
Reported balance
After 2017-03-21 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-03-21 · Purchase · Acquired 19,500 · Balance 19,500 F1: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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.
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 |
|---|---|---|---|---|---|---|
| March 21, 2017 Filed Mar 27, 2017 18:28 UTC Amendment | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | PurchaseCommon stock | 19,500 | $2.40 | $46,800.00 |
DisclosureSEC source: 0001391609-17-000077 · f4_bergner32117.xml · nonDerivative · entry 1 Bergner Richard F · CIK 0001332047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,500 F1 · shares: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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. F1 · balance_after: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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 |
| March 17, 2017 Filed Mar 23, 2017 14:46 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | PurchaseCommon stock | 19,500 | $2.40 | $46,800.00 |
DisclosureSEC source: 0001391609-17-000074 · f4_bergner31717.xml · nonDerivative · entry 1 Bergner Richard F · CIK 0001332047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,500 F1 · shares: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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. F1 · balance_after: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 4,875 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.