EQUUS TOTAL RETURN, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 59 rows, 59 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-10-05: Reporting owner Moore, Clayton & Co., Inc.; Form 4; Security Equus Total Return, Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
- 2009-10-05: Reporting owner Denos Kenneth I; Form 4; Security Equus Total Return, Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
- 2009-08-03: Reporting owner Moore Anthony R; Form 4; Security Equus Total Return, Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
- 2009-08-03: Reporting owner Moore, Clayton & Co., Inc.; Form 4; Security Equus Total Return, Inc.; Transaction S Open market or private sale of non-derivative or derivative security.
EQS insiders transactions against the stock price
Blue: Split-adjusted close · Orange: Cumulative dividend-reinvested close
Logarithmic scale. Both lines share the same starting value for the selected range.
Markers: each transaction type positioned at that session's split-adjusted close. Tooltips retain the reported transaction price when available.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-10-05 | Moore, Clayton & Co., Inc. Director | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −205,889 151,569 owned after | $3.26 | $3.07 | 2009-10-07 |
| 2009-10-05 | Denos Kenneth I Director | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −205,889 151,569 owned after | $3.26 | $3.07 | 2009-10-07 |
| 2009-08-03 | Moore Anthony R 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −531,680 357,458 owned after | $3.35 | $3.35 | 2009-08-04 |
| 2009-08-03 | Moore, Clayton & Co., Inc. 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −531,680 357,458 owned after | $3.35 | $3.35 | 2009-08-04 |
| 2009-08-03 | Clayton Sharon 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −531,680 357,458 owned after | $3.35 | $3.35 | 2009-08-04 |
| 2009-08-03 | Denos Kenneth I Director, 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −531,680 357,458 owned after | $3.35 | $3.35 | 2009-08-04 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 904,181 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 897,183 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 893,160 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 889,138 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 904,181 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 897,183 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 893,160 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 889,138 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 904,181 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 897,183 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 893,160 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 889,138 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 904,181 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Equus total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 897,183 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 893,160 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 889,138 owned after | $3.69 | $2.40 | 2009-05-04 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 903,181 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 896,183 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 892,160 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 888,138 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 903,181 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 896,183 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 892,160 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 888,138 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 903,181 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 896,183 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 892,160 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 888,138 owned after | $3.69 | $2.40 | 2009-05-01 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 837,055 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 830,057 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 826,034 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Clayton Sharon 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 822,012 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 859,097 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 852,099 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 848,076 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Moore Anthony R 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 844,054 owned after | $3.69 | $2.40 | 2009-04-29 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 881,139 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 874,141 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 870,118 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Moore, Clayton & Co., Inc. 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 866,096 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −6,999 903,181 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −6,998 896,183 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,023 892,160 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2009-04-24 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote 1 | S Open market or private sale of non-derivative or derivative security | −4,022 888,138 owned after | $3.69 | $2.40 | 2009-04-28 |
| 2007-09-27 | Moore, Clayton & Co., Inc. 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $7.74 | $7.58 | 2007-10-02 |
| 2007-09-27 | Clayton Sharon Director, 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $7.74 | $7.58 | 2007-10-02 |
| 2007-09-27 | Moore Anthony R Director, 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See footnote | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $7.74 | $7.58 | 2007-10-02 |
| 2007-09-27 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $7.74 | $7.58 | 2007-10-02 |
| 2007-09-27 | Clayton Sharon Director, 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · MCC Europe | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $1,266,355.00 | $7.58 | 2007-10-01 |
| 2007-09-27 | Moore Anthony R Director, 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Indirect · MCC Europe | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $1,266,355.00 | $7.58 | 2007-10-01 |
| 2007-09-27 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Equus Total Return, Inc. Non-derivative · Indirect · MCC Europe | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $1,266,355.00 | $7.58 | 2007-10-01 |
| 2007-09-27 | Moore, Clayton & Co., Inc. 10% Owner | 4 | Equus Total Return, Inc. Non-derivative · Direct | S Open market or private sale of non-derivative or derivative security | −189,716 1,273,252 owned after | $1,266,355.00 | $7.58 | 2007-10-01 |
| 2007-09-27 | Denos Kenneth I Director, Officer (Chief Executive Officer), 10% Owner | 4 | Equus Total Return Inc. Non-derivative · Indirect · MCC Europe Director | S Open market or private sale of non-derivative or derivative security | +189,716 1,273,252 owned after | $1,266,355.00 | $7.58 | 2007-10-01 |