| |
| |
| Exchange: |
New York Stock Exchange |
| Security
Type: |
Mutual Fund |
| Shares
Out: |
13,520,000 |
| Market
Cap: |
19.60(M) |
| Last
Volume: |
3,716 |
Avg
Vol: |
22,903 |
| 52
Week Range: |
$1.35 - $1.68 |
|
| Level
I Sector: |
Financials |
| Level
II Sector: |
Financial Services |
| Level
III Sector: |
Closed - End Fund - Equity |
|
Member Indexes:
|
Rankings:
|
|
| Insider 3 Months : - |
| Insider 6 Months : - |
| Insider 3/6 Months : - |
|
| Guru Rank Number : - |
| Guru Rank Value : - |
| Guru Occurances : - |
|
|
|
|
|
| |
|
Company Profile Equus Total Return is a closed-end management investment company that is treated as a business development company (BDC). Co. provides financing solutions for privately held middle market and small capitalization companies. Co.'s investments consist of debt securities including subordinated debt, debt convertible into common or preferred stock, or debt combined with warrants and common and preferred stock. Co. had active investments in the following entities or portfolio companies: 5th Element Tracking, LLC, a technology holding company; Equus Energy LLC, which makes investments in companies in on oil and gas properties; and PalletOne, Inc., a wooden pallet manufacturer.
|
|
|
D/I:
|
|
|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
|
|
|
Forms:
|
|
|
A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
|
|
|
3m +/-:
|
|
|
|
This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
|
|
|
|
Actions:
|
|
|
| B |
Buy |
| S |
Sell |
| OE |
Option
Exercised |
| A |
Acquired |
| D |
Disposed |
| AB |
Automatic
Buy |
| AS |
Automatic
Sell |
| IO |
Initial
Ownership |
|
|
|
|
Download:
|
|
|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
|
|
|
|
|
| |
| |
Summary (Direct Transactions Only)  |
3 Months |
6 Months |
12 Months |
24 Months |
| Total Shares Bought |
0 |
0 |
1,000 |
1,000 |
| Total Buy Value |
$0 |
$0 |
$1,480 |
$1,480 |
| Total People Bought |
0 |
0 |
1 |
1 |
| Total Buy Transactions |
0 |
0 |
1 |
1 |
| Total Shares Sold |
0 |
0 |
0 |
0 |
| Total Sell Value |
$0 |
$0 |
$0 |
$0 |
| Total People Sold |
0 |
0 |
0 |
0 |
| Total Sell Transactions |
0 |
0 |
0 |
0 |
| End Date |
2024-03-10 |
2023-12-08 |
2023-06-09 |
2022-06-09 |
|
| Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
| 3m +/- |
|
|
Form |
  Douglass Paula Terry |
Vice President |
• – – |
2007-11-28 |
4 |
B |
$6.33 |
$90,360 |
D/D |
14,000 |
47,150 |
2.74 |
- |
|
| Douglass Sam P |
CEO |
• • – |
2007-11-28 |
4 |
B |
$6.33 |
$90,360 |
I/I |
14,000 |
47,150 |
2.66 |
- |
|
| Douglass Sam P |
CEO |
• • – |
2007-11-28 |
4 |
B |
$6.10 |
$119,775 |
D/D |
19,000 |
44,715 |
2.81 |
- |
|
| Douglass Paula Terry |
Vice President |
• – – |
2007-11-27 |
4 |
B |
$6.00 |
$17,400 |
I/I |
2,900 |
25,715 |
1.99 |
- |
|
| Douglass Sam P |
CEO |
• • – |
2007-11-27 |
4 |
B |
$6.00 |
$17,400 |
D/D |
2,900 |
25,715 |
2.81 |
- |
|
| Flanagan Gregory J |
Director |
– • – |
2007-11-27 |
4 |
B |
$6.10 |
$18,300 |
D/D |
3,000 |
15,000 |
2.39 |
- |
|
| Moore, Clayton & Co., Inc. |
10% Owner |
– – • |
2007-09-27 |
4/A |
S |
$7.74 |
$1,468,402 |
I/I |
(189,716) |
1,273,252 |
|
- |
|
| Douglass Paula Terry |
Vice President |
• – – |
2007-09-27 |
4 |
A |
$7.74 |
$1,468,402 |
I/I |
189,716 |
490,582 |
|
- |
|
| Douglass Sam P |
Co-Chairman |
• • – |
2007-09-27 |
4 |
A |
$7.74 |
$1,468,402 |
I/I |
189,716 |
490,582 |
|
- |
|
| Clayton Sharon |
Director |
– • • |
2007-09-27 |
4 |
S |
$6.67 |
$1,266,360 |
I/I |
(189,716) |
1,273,252 |
|
- |
|
| Moore Anthony R |
Director |
– • • |
2007-09-27 |
4 |
S |
$6.67 |
$1,266,360 |
I/I |
(189,716) |
1,273,252 |
|
- |
|
| Moore, Clayton & Co., Inc. |
10% Owner |
– – • |
2007-09-27 |
4 |
S |
$6.67 |
$1,266,360 |
D/D |
(189,716) |
1,273,252 |
|
- |
|
| Denos Kenneth I |
Chief Executive Officer |
• • • |
2007-09-27 |
4 |
S |
$6.67 |
$1,266,360 |
I/I |
(189,716) |
1,273,252 |
|
- |
|
| Feinsilver Alan D |
Director |
– • – |
2007-05-23 |
4 |
S |
$8.80 |
$61,311 |
D/D |
(6,955) |
3,200 |
|
- |
|
| Flanagan Gregory J |
Director |
– • – |
2006-08-17 |
4 |
B |
$7.20 |
$19,678 |
D/D |
2,733 |
12,000 |
2.39 |
- |
|
| Flanagan Gregory J |
Director |
– • – |
2006-08-17 |
4 |
S |
$7.15 |
$9,216 |
I/I |
(1,289) |
9,267 |
|
- |
|
| Douglass Paula Terry |
Vice PresidentOfficer |
• – – |
2006-06-15 |
3 |
IO |
$0.00 |
$0 |
I/I |
0 |
418,046 |
|
- |
|
| Douglass Paula Terry |
Vice PresidentOfficer |
• – – |
2006-06-15 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
33,150 |
|
- |
|
| Tuggle Francis D Dr |
Director |
– • – |
2006-05-18 |
4 |
B |
$7.43 |
$594 |
D/D |
80 |
6,000 |
2.31 |
- |
|
| Tuggle Francis D Dr |
Director |
– • – |
2006-03-22 |
4 |
A |
$7.49 |
$11,099 |
D/D |
1,482 |
5,920 |
|
- |
|
| Boyd Charles M |
Director |
– • – |
2006-03-22 |
4 |
A |
$7.49 |
$2,000 |
D/D |
267 |
1,067 |
|
- |
|
| Knauss Robert L |
Director |
– • – |
2006-03-22 |
4 |
A |
$7.49 |
$1,281 |
I/I |
171 |
683 |
|
- |
|
| Knauss Robert L |
Director |
– • – |
2006-03-22 |
4 |
A |
$7.49 |
$4,478 |
D/D |
598 |
2,389 |
|
- |
|
| Moore Anthony R |
Director |
– • – |
2006-02-23 |
4 |
S |
$7.08 |
$2,230,200 |
I/I |
(315,000) |
1,463,013 |
|
- |
|
| Moore, Clayton & Co., Inc. |
10% Owner |
– – • |
2006-02-23 |
4 |
S |
$7.08 |
$2,230,200 |
I/I |
(315,000) |
1,463,013 |
|
- |
|
251 Records found
|
|
Page 7 of 11 |
|
|
