Form SC 13G/A - Statement of acquisition of beneficial ownership by individuals: [Amend]
February 12 2024 - 9:20AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13G
Under
the Securities Exchange Act of 1934
(Amendment
No. 1)
Equus
Total Return, Inc. |
(Name
of Issuer) |
Common
Stock, par value $0.001 per share |
(Title
of Class of Securities) |
294766100 |
(CUSIP
Number) |
December
31, 2023 |
(Date
of Event which Requires Filing of this Statement) |
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
[_]
Rule 13d-1(b)
[X]
Rule 13d-1(c)
[
] Rule 13d-1(d)
*The
remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover
page.
The
information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18
of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
SCHEDULE
13G
1 |
Names
of Reporting Persons: Howard Todd Horberg |
|
2 |
Check
the appropriate box if a member of a Group (see instructions) |
(a) [
]
(b) [ ] |
3 |
Sec
Use Only |
|
4 |
Citizenship
or Place of Organization |
USA |
Number
of Shares Beneficially Owned by Each Reporting Person With:
|
5 |
Sole
Voting Power |
703,728 |
6 |
Shared
Voting Power |
0 |
7 |
Sole
Dispositive Power |
703,728 |
8 |
Shared
Dispositive Power |
0 |
9 |
Aggregate
Amount Beneficially Owned by Each Reporting Person |
703,728 |
10 |
Check
box if the aggregate amount in row (9) excludes certain shares (See Instructions) |
[
] |
11 |
Percent
of class represented by amount in row (9) |
5.21% |
12 |
Type
of Reporting Person (See Instructions) |
IN |
|
|
|
|
Item
1.
(a) Name
of Issuer: Equus Total Return, Inc.
(b) Address
of Issuer’s Principal Executive Offices: 700 Louisiana St., 48th Floor, Houston, Texas 77002
Item
2.
|
(a) |
Name of Person Filing:
Howard Todd Horberg |
|
(b) |
Address of Principal Business
Office or, if None, Residence: 915 McCormick Drive, Lake Forest, Illinois 60045 |
|
(c) |
Citizenship: United
States |
|
(d) |
Title
and Class of Securities: Common Stock, $0.001 par value |
Item 3. |
If this statement is filed
pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
|
(a) |
[_] Broker or dealer registered
under Section 15 of the Act; |
|
(b) |
[_] Bank as defined in
Section 3(a)(6) of the Act; |
|
(c) |
[_] Insurance company
as defined in Section 3(a)(19) of the Act; |
|
(d) |
[_] Investment company
registered under Section 8 of the Investment Company Act of 1940; |
|
(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 associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) |
[_] A
church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of
1940; |
|
(j) |
[_] A
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: ____ |
(a) |
|
Amount
Beneficially Owned: 703,728 shares of Common Stock |
(b) |
|
Percent
of Class: 5.21% as of December 31, 2023 |
(c) |
|
Number
of shares as to which such person has: |
|
(i) |
|
Sole
power to vote or to direct the vote: 703,728 shares; of these shares, 672,728 are held by Horberg Enterprises LP and 31,000 are
held by Howard Todd Horberg Rollover IRA, where the Reporting Person has sole power to vote all these shares. |
|
(ii) |
|
Shared
power to vote or to direct the vote: 0 |
|
(iii) |
|
Sole
power to dispose or to direct the disposition of: 703,728 shares; of these shares, 672,728 are held by Horberg Enterprises LP
and 31,000 are held by Howard Todd Horberg Rollover IRA, where the Reporting Person has sole power to dispose or direct the disposition
of all these shares. |
|
(iv) |
|
Shared
power to dispose or to direct the disposition of: 0 |
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 []. |
Item
6. |
Ownership
of more than Five Percent on Behalf of Another Person. Of the 703,728 shares beneficially owned by the Reporting Person,
Horberg Enterprises LP and Howard Todd Horberg Rollover IRA have the right to receive dividends from and proceeds from the sale of
672,728 and 31,000, respectively, of the Issuer. |
Item
7. |
Identification
and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person.
Not Applicable |
Item
8. |
Identification
and classification of members of the group. Not Applicable |
Item
9. |
Notice
of Dissolution of Group. Not Applicable |
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
Dated: February
13, 2024
/s/Howard
Todd Horberg
Name:
Howard Todd Horberg
The
original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement
is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of this filing person),
evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that
a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any
title of each person who signs the statement shall be typed or printed beneath his signature.
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001).
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