EQS · Equus Total Return, Inc. · Insider Trading
Substantial doubt about the company's ability to continue as a going concern.
“Because we do not currently have committed financing to fund our operations for at least twelve months from the issuance of these unaudited condensed consolidated financial statements, substantial doubt exists about our ability to continue as a going concern.”View the 10-Q filed Aug 14, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2025-09-16 | Hardy John A. |
Director, CEO, 10% Owner |
Award↑
Filing footnotes — Common Stock (Indirect)
Represents an award of restricted stock pursuant to the Registrant's 2016 Equity Incentive Plan. Includes 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc. |
Common Stock
(I)
|
133,682 |
| 2025-09-16 | Denos Kenneth I |
Director, Secretary |
Award↑
Filing footnotes — Common (Indirect)
Represents an award of restricted stock pursuant to the Registrant's 2016 Equity Incentative Plan. Includes 250,000 shares held directly by Acadia Law Group. P.C., a Utah professional corporation beneficially owned controlled by the Reporting person who has authority to execute the same on behalf of Acadia Law Group, P.C. |
Common
(I)
|
66,841 |
| 2023-07-14 | KNAUSS ROBERT L |
Director |
Buy↑
|
Common Stock
|
1,000 |
| 2021-09-29 | des Pallieres Bertrand |
10% Owner |
Sell↓
Filing footnotes — Common Stock (Indirect)
Includes 15,000 shares held directly, also includes 145,833 shares held directly by SPQR Capital Holdings S.A. a Luxembourg societe anonyme in which Mr. des Pallieres is a minority stockholder and serves as a director. Also includes 184,600 shares held directly by Lansdowne Capital S.AA., a Luxembourg societe anonyme that is indirectly wholly-owned by Mr. des Pallieres. |
Common Stock
(I)
|
1,844,259 |
| 2021-04-29 | Atkinson Fraser |
Director, CEO and Chairman, 10% Owner |
Buy↑
|
Common Stock
|
4,034 |
| 2021-04-28 | Atkinson Fraser |
Director, CEO and Chairman, 10% Owner |
Buy↑
|
Common Stock
|
700 |
| 2021-04-27 | Atkinson Fraser |
Director, CEO and Chairman, 10% Owner |
Buy↑
|
Common Stock
|
100 |
| 2021-04-26 | Atkinson Fraser |
Director, CEO and Chairman, 10% Owner |
Buy↑
|
Common Stock
|
1,352 |
| 2021-04-23 | Atkinson Fraser |
Director, CEO and Chairman, 10% Owner |
Buy↑
|
Common Stock
|
18,016 |
| 2020-07-16 | Hardy John A. |
Director, CEO, 10% Owner |
Buy↑
Filing footnotes — Common Stock (Indirect)
Represents 3,228,024 shares held directly by Benton Capital Inc., a British Columbia Corporation beneficially owned and controlled by the Reporting Person. Also represents 500,000 shares held directly by the Reporting Person. This form is being filed jointly by Benton Capital Inc. and the Reporting Person who has authority to execute the same on behalf of Benton Capital Inc. |
Common Stock
(I)
|
3,228,024 |
| 2020-07-16 | TOKARZ MICHAEL T |
10% Owner |
Sell↓
Filing footnotes — Common Stock, par value $0.001 per share (Indirect)
The shares were held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person controls MVC's investment adviser, which makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. |
Common Stock, par value $0.001 per share
(I)
|
3,228,024 |
| 2020-07-16 | Tokarz Group Advisers LLC |
10% Owner |
Sell↓
Filing footnotes — Common Stock, par value $0.001 per share (Indirect)
The shares were held by MVC Capital, Inc., a registered non-diversified, closed-end management investment company that has elected to be regulated as a business development company under the Investment Company Act of 1940 ("MVC"). The Reporting Person is the investment adviser of MVC and makes investment decisions on behalf of MVC pursuant to an investment advisory agreement. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of its pecuniary interest therein. |
Common Stock, par value $0.001 per share
(I)
|
3,228,024 |
| 2020-07-16 | MVC CAPITAL, INC. |
10% Owner |
Sell↓
|
Common Stock, par value $0.001 per share
|
3,228,024 |