Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EQUUS TOTAL RETURN, INC.EQS · Entity 7826 | Director · CEO · 10% owner | September 16, 2025 | September 17, 2025 |
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 September 16, 2025 · Filed September 17, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectI | 3,861,706 |
Reported balance
After 2025-09-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-09-16 · Grant · Acquired 133,682 · Balance 3,861,706 F1: Represents an award of restricted stock pursuant to the Registrant's 2016 Equity Incentive Plan. F2: Includes 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an award of restricted stock pursuant to the Registrant's 2016 Equity Incentive Plan.
F2: Includes 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc.
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 16, 2025 Filed Sep 17, 2025 20:09 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | GrantCommon Stock | 133,682 | $2.51 | $335,541.82 |
DisclosureSEC source: 0001712543-25-000078 · ownership.xml · nonDerivative · entry 1 Hardy John A. · CIK 0001493030 · Director · CEO · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · I Disclosed balance after: 3,861,706 F1 · ownership.nature: Represents an award of restricted stock pursuant to the Registrant's 2016 Equity Incentive Plan. F2 · ownership.nature: Includes 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc. Read SEC document |
| July 16, 2020 Filed Jul 17, 2020 22:32 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | PurchaseCommon Stock | 3,228,024 | $1.17 | $3,776,788.08 |
DisclosureSEC source: 0001673431-20-000046 · f4a_bertrand122215.xml · nonDerivative · entry 1 Hardy John A. · CIK 0001493030 · Director · CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · I Disclosed balance after: 3,728,024 F1 · ownership.nature: Represents 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person. Also represents 500,000 shares held directly by the Reporting Person. This form is being filed jointly by Benton Capital Inc. and the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc. Read SEC document |
| March 17, 2017 Filed Mar 17, 2017 20:37 UTC | EQUUS TOTAL RETURN, INC. EQS · Entity 7826 | PurchaseCommon Stock | 500,000 | $2.40 | $1,200,000.00 |
DisclosureSEC source: 0001391609-17-000061 · f4_hardy031717.xml · nonDerivative · entry 1 Hardy John A. · CIK 0001493030 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 F1 · shares: Represents an award of restricted stock pursuant to Registrant's 2016 Equity Incentive Plan. 125,000 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.