EQUUS TOTAL RETURN, INC. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Hardy John A. | CEO | Award / Grant | 133,682 | $2.51 | $335,542 | 3,861,706 | Sep 16, 2025 |
| Denos Kenneth I | Secretary | Award / Grant | 250,000 | $2.51 | $627,500 | 332,595 | Sep 16, 2025 |
| Denos Kenneth I | Secretary | Award / Grant | 66,841 | $2.51 | $167,771 | 332,595 | Sep 16, 2025 |
| KNAUSS ROBERT L | — | Purchase | 1,000 | $1.48 | $1,480 | 93,670 | Jul 14, 2023 |
| des Pallieres Bertrand | — | Sale | 1,844,259 | $2.40 | $4,426,222 | 345,433 | Sep 29, 2021 |
| Atkinson Fraser | — | Purchase | 100 | $1.90 | $190 | 40,857 | Apr 26, 2021 |
| Hardy John A. | CEO | Purchase | 3,228,024 | $1.17 | $3,776,788 | 3,728,024 | Jul 16, 2020 |
| MVC CAPITAL, INC. | — | Sale | 3,228,024 | $1.17 | $3,776,788 | — | Jul 16, 2020 |
| Tokarz Group Advisers LLC | — | Sale | 3,228,024 | $1.17 | $3,776,788 | — | Jul 16, 2020 |
| TOKARZ MICHAEL T | — | Sale | 3,228,024 | $1.17 | $3,776,788 | — | Jul 16, 2020 |
| MVC CAPITAL, INC. | — | Sale | 608,310 | $1.62 | $985,462 | 3,228,024 | Aug 12, 2019 |
| Tokarz Group Advisers LLC | — | Sale | 608,310 | $1.62 | $985,462 | 3,228,024 | Aug 12, 2019 |
| TOKARZ MICHAEL T | — | Sale | 608,310 | $1.62 | $985,462 | 3,228,024 | Aug 12, 2019 |
| TOKARZ MICHAEL T | — | Sale | 608,310 | $1.70 | $1,034,127 | 3,836,334 | Jul 29, 2019 |
| Tokarz Group Advisers LLC | — | Sale | 608,310 | $1.70 | $1,034,127 | 3,836,334 | Jul 29, 2019 |
| MVC CAPITAL, INC. | — | Sale | 608,310 | $1.70 | $1,034,127 | 3,836,334 | Jul 29, 2019 |
| TOKARZ MICHAEL T | — | Other | 608,310 | $1.70 | $1,034,127 | 3,836,334 | Jul 26, 2019 |
| Tokarz Group Advisers LLC | — | Sale | 608,310 | $1.70 | $1,034,127 | 3,836,334 | Jul 26, 2019 |
| MVC CAPITAL, INC. | — | Other | 608,310 | $1.70 | $1,034,127 | 3,836,334 | Jul 26, 2019 |
| Bergner Richard F | — | Purchase | 19,500 | $2.40 | $46,800 | 19,500 | Mar 21, 2017 |
| Bergner Richard F | — | Purchase | 19,500 | $2.40 | $46,800 | 19,500 | Mar 17, 2017 |
| Atkinson Fraser | — | Purchase | 19,500 | $2.40 | $46,800 | 21,389 | Mar 17, 2017 |
| des Pallieres Bertrand | — | Purchase | 15,000 | $2.40 | $36,000 | 2,199,692 | Mar 17, 2017 |
| KNAUSS ROBERT L | — | Purchase | 21,000 | $2.40 | $50,400 | 92,670 | Mar 17, 2017 |
| Hankinson Henry W | — | Purchase | 19,500 | $2.40 | $46,800 | 19,500 | Mar 17, 2017 |
| Hardy John A. | Chief Executive Officer | Purchase | 500,000 | $2.40 | $1,200,000 | 500,000 | Mar 17, 2017 |
| Denos Kenneth I | Secretary | Purchase | 250,000 | $2.40 | $600,000 | 265,754 | Mar 17, 2017 |
| des Pallieres Bertrand | — | Purchase | 9,351 | $1.50 | $14,027 | 2,179,763 | Mar 3, 2016 |
| des Pallieres Bertrand | — | Purchase | 8,400 | $1.50 | $12,600 | 2,170,235 | Jan 20, 2016 |
| des Pallieres Bertrand | — | Purchase | 42,284 | $1.50 | $63,426 | 2,619,662 | Nov 25, 2015 |
| KNAUSS ROBERT L | — | Purchase | 9,000 | $1.55 | $13,950 | 70,670 | Nov 24, 2015 |
| des Pallieres Bertrand | — | Purchase | 42,284 | $1.50 | $63,426 | 2,136,835 | Nov 20, 2015 |
| des Pallieres Bertrand | — | Purchase | 25,000 | $1.50 | $37,500 | 2,090,913 | Nov 20, 2015 |
| KNAUSS ROBERT L | — | Purchase | 5,000 | $1.51 | $7,550 | 45,670 | Nov 20, 2015 |
| des Pallieres Bertrand | — | Purchase | 3,638 | $1.45 | $5,275 | 2,577,378 | Nov 18, 2015 |
| Mobiquity Investments Ltd | — | Disposition | 960,087 | $2.45 | $2,352,213 | 10,000 | Jun 12, 2014 |
| TOKARZ MICHAEL T | — | Purchase | 970,087 | $2.45 | $2,376,713 | 4,444,644 | Jun 12, 2014 |
| Tokarz Group Advisers LLC | — | Purchase | 970,087 | $2.45 | $2,376,713 | 4,444,644 | Jun 12, 2014 |
| MVC CAPITAL, INC. | — | Purchase | 970,087 | $2.45 | $2,376,713 | 4,444,644 | Jun 12, 2014 |
| TOKARZ MICHAEL T | — | Purchase | 850,000 | $2.40 | $2,040,000 | 3,474,557 | Jun 3, 2014 |
| MVC CAPITAL, INC. | — | Purchase | 850,000 | $2.40 | $2,040,000 | 3,474,557 | Jun 3, 2014 |
| Tokarz Group Advisers LLC | — | Purchase | 850,000 | $2.40 | $2,040,000 | 3,474,557 | Jun 3, 2014 |
| MVC CAPITAL, INC. | — | Purchase | 512,557 | $2.40 | $1,230,137 | 2,624,557 | May 21, 2014 |
| TOKARZ MICHAEL T | — | Purchase | 512,557 | $2.40 | $1,230,137 | 2,624,557 | May 21, 2014 |
| Tokarz Group Advisers LLC | — | Purchase | 512,557 | $2.40 | $1,230,137 | 2,624,557 | May 21, 2014 |
| KNAUSS ROBERT L | — | Purchase | 5,000 | $1.88 | $9,400 | 35,670 | Apr 7, 2014 |
| des Pallieres Bertrand | — | Purchase | 859,803 | $2.40 | $2,063,527 | 2,880,167 | Jul 31, 2013 |
| des Pallieres Bertrand | — | Purchase | 1,492 | $1.89 | $2,820 | 2,020,364 | Jul 22, 2013 |
| des Pallieres Bertrand | — | Purchase | 986,842 | $2.65 | $2,615,131 | 2,017,298 | Dec 20, 2012 |
| Mobiquity Investments Ltd | — | Purchase | 7,125 | $2.05 | $14,606 | 970,087 | Dec 6, 2011 |