Radoff Maintains 300K Share Stake in Equus Total Return

TL;DR

**Radoff still holds 300,000 shares of EQUS, signaling continued interest.**

AI Summary

Bradley L. Radoff, an individual investor, filed an Amendment No. 3 to Schedule 13G on February 13, 2024, disclosing his beneficial ownership of 300,000 shares of Equus Total Return, Inc. common stock as of December 31, 2023. This filing indicates Radoff holds sole voting and sole dispositive power over these shares, representing a significant stake in the company. This matters to investors because it highlights a notable individual investor's continued interest and substantial position in Equus Total Return, Inc., potentially signaling confidence or a strategic play.

Why It Matters

This filing shows a prominent individual investor, Bradley L. Radoff, continues to hold a substantial position in Equus Total Return, Inc., which could influence future corporate actions or investor sentiment.

Risk Assessment

Risk Level: low — This is an amendment to a passive filing, indicating no immediate change in control or aggressive action, thus posing low risk.

Analyst Insight

Investors should note Bradley L. Radoff's continued substantial holding in Equus Total Return, Inc. as a potential indicator of long-term value or strategic interest, but this filing alone doesn't suggest immediate action.

Key Numbers

• 300,000 — Shares Beneficially Owned (Represents Bradley L. Radoff's total holdings in Equus Total Return, Inc. as of December 31, 2023.)
• December 31, 2023 — Date of Event (The date as of which the beneficial ownership information was reported.)

Key Players & Entities

• Bradley L. Radoff (person) — Reporting Person, individual investor
• Equus Total Return, Inc. (company) — Subject Company, issuer of the securities
• 300,000 (dollar_amount) — number of shares beneficially owned by Bradley L. Radoff

Forward-Looking Statements

• Bradley L. Radoff will maintain his significant stake in Equus Total Return, Inc. for the foreseeable future. (Bradley L. Radoff) — medium confidence, target: December 31, 2024

FAQ

Key Financial Figures

• $0.001 — ame of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securitie

Filing Documents

• sc13ga309076eqs_02142024.htm (SC 13G/A) — 54KB
• 0000921895-24-000395.txt ( ) — 55KB

(a). Name of Issuer

Item 1(a). Name of Issuer: Equus Total Return, Inc., a Delaware corporation (the “Issuer”).

(b). Address of Issuer’s Principal Executive Offices

Item 1(b). Address of Issuer’s Principal Executive Offices: 700 Louisiana Street, 48th Floor Houston, Texas 77002

(a). Name of Person Filing

Item 2(a). Name of Person Filing: This statement is filed by Bradley L. Radoff.

(b). Address of Principal Business Office or, if None, Residence

Item 2(b). Address of Principal Business Office or, if None, Residence: The address of the principal office of Mr. Radoff is 2727 Kirby Drive, Unit 29L, Houston, Texas 77098.

(c). Citizenship

Item 2(c). Citizenship: Mr. Radoff is a citizen of the United States of America.

(d). Title of Class of Securities

Item 2(d). Title of Class of Securities: Common Stock, par value $0.001 per share (the “Shares”).

(e). CUSIP Number

Item 2(e). CUSIP Number: 294766100 3 CUSIP No. 294766100

If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a

Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: /x/ Not applicable. (a) / / Broker or dealer registered under Section 15 of the Exchange Act. (b) / / Bank as defined in Section 3(a)(6) of the Exchange Act. (c) / / Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) / / Investment company registered under Section 8 of the Investment Company Act. (e) / / An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). (f) / / An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) / / A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) / / A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) / / A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) / / Non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J). (k) / / Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____

Ownership

Item 4. Ownership. (a) Amount beneficially owned: As of the close of business on December 31, 2023, Mr. Radoff directly beneficially owned 300,000 Shares. (b) Percent of class: The following percentage is based on 13,518,146 Shares outstanding as of September 30, 2023, which is the total number of Shares outstanding as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 14, 2023. As of the close of business on December 31, 2023, Mr. Radoff beneficially owned approximately 2.2% of the outstanding Shares. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Cover Pages Items 5-9. (ii) Shared power to vote or to direct the vote: See Cover Pages Items 5-9. 4 CUSIP No. 294766100 (iii) Sole power to dispose or to direct the disposition of: See Cover Pages Items 5-9. (iv) Shared power to dispose or to direct the disposition of: See Cover Pages Items 5-9.

Ownership of Five Percent or Less of a Class

Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X].

Ownership of More than Five Percent on Behalf of Another Person

Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary That Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable.

Identification and Classification of Members of the Group

Item 8. Identification and Classification of Members of the Group. Not Applicable.

Notice of Dissolution of Group

Item 9. Notice of Dissolution of Group. Not Applicable.

Certifications

Item 10. Certifications. By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 5 CUSIP No. 294766100 SIGNATURE After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 13, 2024 /s/ Bradley L. Radoff Bradley L. Radoff 6

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