Equus Total Return (EQS)

Date	Owner	Security	Transaction	Code	Indirect	10b5-1	$Price	#Shares	$Value	#Remaining
29 Sep 21	Pallieres Bertrand des	Common Stock	Sell	Dispose S	Yes	No	2.4	1,844,259	4.43M	345,433
29 Apr 21	Fraser Atkinson	Common Stock	Buy	Acquire P	No	No	1.89	4,034	7.62K	45,591
28 Apr 21	Fraser Atkinson	Common Stock	Buy	Acquire P	No	No	1.89	700	1.32K	41,557
27 Apr 21	Fraser Atkinson	Common Stock	Buy	Acquire P	No	No	1.9	100	190	40,857
26 Apr 21	Fraser Atkinson	Common Stock	Buy	Acquire P	No	No	1.9	1,352	2.57K	40,757
23 Apr 21	Fraser Atkinson	Common Stock	Buy	Acquire P	No	No	1.89	18,016	34.05K	39,405

Data from 3, 4 and 5 filings. Values as filed, not updated for current price.

Institutional ownership, Q1 2022

EQS institutional ownership history Ownership history

1.7% owned by funds/institutions

13F holders	Current	Prev Q	Change
Total holders	10	6	+66.7%
Opened positions	4	0	NEW
Closed positions	0	4	EXIT
Increased positions	1	0	NEW
Reduced positions	0	0

13F shares	Current	Prev Q	Change
Total value	7.28M	5.23M	+39.0%
Total shares	4.07M	3.89M	+4.6%
Total puts	0	0
Total calls	0	0
Total put/call ratio	–	–	–

Largest owners	Shares	Value	Change
Hardy John A.	3.23M	$3.68M	0.0%
Custodian Ventures	632.21K	$1.49M	0.0%
Shufro Rose & Co	85.88K	$221K	+384.3%
Mizuho Securities Usa	60.62K	$1.73M	NEW
MS Morgan Stanley	35.24K	$91K	NEW
CSS	14.5K	$37K	NEW
Blue Bell Private Wealth Management	9.69K	$25K	0.0%
UBS UBS Group AG - Registered Shares	1.69K	$4K	NEW
Advisor	497	$1K	0.0%
AdvisorNet Financial	223	$1K	0.0%

Largest transactions	Shares	Bought/sold	Change
Shufro Rose & Co	85.88K	+68.15K	+384.3%
Mizuho Securities Usa	60.62K	+60.62K	NEW
MS Morgan Stanley	35.24K	+35.24K	NEW
CSS	14.5K	+14.5K	NEW
UBS UBS Group AG - Registered Shares	1.69K	+1.69K	NEW
Proequities	0	0
Blue Bell Private Wealth Management	9.69K	0	0.0%
AdvisorNet Financial	223	0	0.0%
Hardy John A.	3.23M	0	0.0%
Advisor	497	0	0.0%

Data from 13F filings, for the last complete 13F reporting period. For most recent data, click the ownership history button. Values as filed, not updated for current price. Long positions only.

Financial report summary

Management Discussion

Net investment loss was relatively unchanged at $0.8 million for the three months ended June 30, 2022 and June 30, 2021, respectively. Net investment loss was $1.7 million and $1.8 million for the six months ended June 30, 2022, and June 30, 2021, respectively.
Compensation expense was relatively unchanged at $0.3 million for the three months ended June 30, 2022 and June 30, 2021, respectively. Compensation expense was $0.7 million and $0.8 million for the six months ended June 30, 2021, as a result of bonuses earned in connection with dispositions of certain of the Fund’s portfolio investments in 2021.
Professional liability expenses increased to $0.2 million for the three months ended June 30, 2022 from $0.1 million for the three months ended March 31, 2021, and $0.3 million for the six months ended June 30, 2022 from $0.2 million for the six months ended June 30, 2021, primarily due to overall increases in liability premiums.

Content analysis

Positive
Negative
Uncertain
Constraining
Legalese
Litigous
Readability	H.S. junior Avg

New words: climb, displacement, driver, expansion, EY, gasoline, heading, illustrative, initial, intermittently, internationally, Kiplinger, presence, prohibit, Topic, UEIA, unfavorable, worker

Removed: assembly, Escrowed, evolving, fourth, greatest, implemented, introduced, movement, precipitated, rapidly, resurgence, robust, scrutiny, show, social, SPAC, strain, travel

From filing 10-Q 2022 Q2

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