EQS Equus Total Return Dashboard

Equus Total Return, Inc. acts as a closed-ended fund and business development company that seeks investment opportunities in debt and equity securities of small and middle market capitalization companies that are generally not publicly traded at the time of our investment. It also seeks purchase working interests and revenue leasehold interests in oil and gas properties. The company was founded on August 16, 1991 and is headquartered in Houston, TX.

Company profile

Ticker

EQS

Exchange

NYSE

Website

www.equuscap.com

CEO

John A. Hardy

Incorporated

Delaware

Location

Texas

Fiscal year end

Dec 31

Sector

Finance and Insurance > Securities and Commodity Exchanges

Former names

EQUUS II INC, EQUUS II INC ET AL

SEC CIK

0000878932

Corporate docs

Articles of Incorporation & Bylaws

IRS number

760345915

EQS stock data

S&P 500

1M 1Y 2Y 5Y

Press releases

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Equus Announces First Quarter Net Asset Value

14 May 21

HOUSTON, May 14, 2021 (GLOBE NEWSWIRE) -- Equus Total Return, Inc. (NYSE:EQS) ("Equus" or the "Company") reports net assets as of March 31, 2021, of $34.1 million, an increase of approximately $0.3 million since

Equus Reports Fourth Quarter Results

31 Mar 21

HOUSTON, March 31, 2021 (GLOBE NEWSWIRE) -- Equus Total Return, Inc. (NYSE:EQS) (the "Fund" or "Equus") reports net assets as of December 31, 2020, of $33.8 million, a decrease of approximately $3.6 million since

Calendar

13 May 21

13 Jun 21

31 Dec 21

Recent insider trades

EQS insider ownership history Insider history

Date	Owner	Security	Transaction	Code	Indirect	10b5-1	$Price	#Shares	$Value	#Remaining
29 Apr 21	Fraser Atkinson	Common Stock	Buy	Aquire P	No	No	1.89	4,034	7.62K	45,591
28 Apr 21	Fraser Atkinson	Common Stock	Buy	Aquire P	No	No	1.89	700	1.32K	41,557
27 Apr 21	Fraser Atkinson	Common Stock	Buy	Aquire P	No	No	1.9	100	190	40,857
26 Apr 21	Fraser Atkinson	Common Stock	Buy	Aquire P	No	No	1.9	1,352	2.57K	40,757
23 Apr 21	Fraser Atkinson	Common Stock	Buy	Aquire P	No	No	1.89	18,016	34.05K	39,405
16 Jul 20	Tokarz Michael T	Common Stock, par value $0.001 per share	Sell	Dispose S	Yes	No	1.17	3,228,024	3.78M	0
16 Jul 20	Tokarz Group Advisers	Common Stock, par value $0.001 per share	Sell	Dispose S	Yes	No	1.17	3,228,024	3.78M	0
16 Jul 20	MVC Capital	Common Stock, par value $0.001 per share	Sell	Dispose S	No	No	1.17	3,228,024	3.78M	0
16 Jul 20	Hardy John A.	Common Stock	Buy	Aquire P	Yes	No	1.17	3,228,024	3.78M	3,728,024

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

Institutional ownership Q1 2021

EQS institutional ownership history Ownership history

Data for the last complete 13F reporting period. To see the most recent changes to ownership, click the ownership history button above.

1.4% owned by funds/institutions

13F holders	Current	Prev Q	Change
Total holders	10	11	-9.1%
Opened positions	2	2	–
Closed positions	3	6	-50.0%
Increased positions	3	1	+200.0%
Reduced positions	2	3	-33.3%

13F shares	Current	Prev Q	Change
Total value	364K	688K	-47.1%
Total shares	187.19K	355.09K	-47.3%
Total puts	0	0
Total calls	0	0
Total put/call ratio	–	–	–

Largest owners	Shares	Value	Change
Bulldog Investors	66.13K	$129K	0.0%
MS Morgan Stanley	38.66K	$75K	+354.8%
Citadel Advisors	36.54K	$71K	NEW
Shufro Rose & Co	17.74K	$35K	0.0%
CSS	14.5K	$28K	NEW
Blue Bell Private Wealth Management	11.69K	$23K	-6.4%
UBS UBS Group AG - Registered Shares	1.03K	$2K	+12.9%
Advisor	497	$1K	-53.4%
AdvisorNet Financial	223	$0	0.0%
WFC Wells Fargo & Co.	202	$0	+10000.0%

Largest transactions	Shares	Bought/sold	Change
West Family Investments	0	-210.28K	EXIT
RY Royal Bank Of Canada	0	-37.73K	EXIT
Citadel Advisors	36.54K	+36.54K	NEW
MS Morgan Stanley	38.66K	+30.16K	+354.8%
CSS	14.5K	+14.5K	NEW
Blue Bell Private Wealth Management	11.69K	-800	-6.4%
Advisor	497	-570	-53.4%
WFC Wells Fargo & Co.	202	+200	+10000.0%
UBS UBS Group AG - Registered Shares	1.03K	+117	+12.9%
Private Capital	0	-39	EXIT

Data from 13F filings. Stock values as filed, not updated for current price. Long positions only.

Financial report summary

Management Discussion

Net investment loss was relatively unchanged at $1.0 million and $0.9 million for the three months ended March 31, 2021 and March 31, 2020, respectively.
Investment income declined to $0.0 million for the three months ended March 31, 2021 from $0.1 million for the three months ended March 31, 2020, due to the sale of interest/dividend bearing investments. Total expense was relatively unchanged at $1.0 for each of the three months ended March 31, 2021 and 2020, respectively.
During the three months ended March 31, 2021, we realized a loss of $0.2 million from the adjustment of the escrow receivable from the sale of PalletOne, Inc.

Content analysis

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

New words: accomplish, advice, Africa, attributable, bearing, begun, billion, Bloomberg, book, bulk, Certificate, Commencing, Conversion, correction, deployed, digital, eliminated, escalation, escrow, Escrowed, fallout, fully, globe, Goldman, height, hourly, intensified, introduced, Kingdom, lieu, mask, matter, millio, momentum, monthly, permanent, pharmaceutical, posting, pressure, reclassified, restatement, South, stemming, stood, survival, transmitted, unchanged, undeployed, undeveloped, upward, vaccination, vehicle, wholly

Removed: abandoned, agreed, amending, Arabia, calculating, collapse, Commission, comparatively, construction, contemplated, decreasing, discourage, dispute, drop, earliest, effected, expired, falling, Fast, Federation, finalize, focused, govern, gradual, hereinafter, historically, hyperlinking, immaterial, improve, improved, incorporating, indefinite, indefinitely, inhibit, insolvency, intention, largest, massive, milder, MMBTU, Modernization, modification, mortgage, navigability, OPEC, opening, opportunistic, pattern, pause, pending, personally, positive, postponed, preceding, procure, prominent, proximate, ranging, readability, recognition, reference, removal, repay, repetition, restructured, retrospective, Russia, Russian, Saudi, sharply, Shipping, simplification, simplify, slumping, straight, sustainable, terminate, transition, uneconomic, wait, war, WTI

From filing 10-Q 2021 Q1