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Equus Total Return Inc (EQS)
USD1.19
+0.00 (+0.00%)
US NYSE Financial Services Asset Management
Address
700 Louisiana Street 77002
Houston, TX, US
Houston, TX, US
CEO
John A. Hardy
Website
equuscap.com
IPO
1992-09-11
CIK 878932 ISIN US2947661003
Description
Equus Total Return, Inc. is a business development company (BDC) specializing in leveraged buyouts, management buyouts, corporate partnerships/joint ventures, growth and expansion capital, acquisition financing, roll-up acquisition strategies, operational turnarounds, recapitalizations of existing businesses, special situations, equity and equity-oriented securities issued by privately owned companies, debt securities including subordinate debt, debt convertible into common or preferred stock, or debt combined with warrants and common and preferred stock, and preferred equity financing. It invests in middle market companies and acts as a lead investor. It invests in technology, telecommunication, financial services, natural resource and industrial manufacturing and services. It invests in companies engaged in the alternative energy, real estate, healthcare, education, e-learning, leisure and entertainment, and foreign investment sector in the United States, China, India, and Europe. It investments include common and preferred stock, debt convertible into common or preferred stock, debt combined with warrants and options, and other rights to acquire common or preferred stock. It seeks to invest in companies between $1 million and $25 million with revenues between $5 million and $150 million with EBITDA between $2 million and $50 million. It seeks to take control and non-control equity positions. Equus Total Return, Inc. was founded in 1991 and is based in Houston, Texas with additional office in Vancouver, Canada.
Market Cap & Enterprise Value
Merger & Acquisition History
No mergers or acquisitions recorded for this company.
Technical Outlook
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Signal Summary
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| Indicator | 1D | 1W | 2W | 3W | 1M |
|---|
Each column is computed on that timeframe's candles (1D = daily, 1W ≈ weekly, 1M ≈ monthly), not on the same last day. ▲ bullish · ▼ bearish · — neutral. The Net row counts signals per column; hover any cell (or the indicator name) to see the exact rule behind it.
Day Score & sub-scores
Statistical fingerprint & regime detail
Conditional historical analysis
Customize analysis (advanced)
Indicative levels generated algorithmically. Not financial advice.
Risk Profile
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Price Chart
USD1.19
+0.00 (+0.00%)
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Volume Profile
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Liquidity & share structure
Average Volume
14.0K
Beta
0.15
Float Shares
5.83M
Free Float %
41.8%
Price Performance
| 1D | 5D | 1M | 3M | 6M | YTD | 1Y | 3Y | 5Y | 10Y | Max |
|---|---|---|---|---|---|---|---|---|---|---|
| +9.64% | -1.80% | -1.09% | -0.36% | -24.59% | -3.19% | +35.15% | -13.06% | -28.16% | -19.71% | -89.37% |
Rolling Volatility
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Drawdown
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Relative Strength
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Monthly Returns Heatmap
From
To
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Annual Monthly Returns
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Daily Returns Distribution
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Revenue flow
Revenue by geography
Revenue by segment
From
To
Revenue composition
From
To
By product
By geography
Financial Statements
Select metrics from the tables below to build your comparison.
Income Statement
Balance Sheet
Cash Flow Statement
Key Metrics
Financial Ratios
Employees
Financial Growth (CAGR)
Market Data
Price Targets & DCF
Current price
1.19
Ratings Trend (MoM)
| Rating | 2024-11 | Change |
|---|---|---|
| Strong Buy | 0 | 0 |
| Buy | 0 | 0 |
| Hold | 0 | 0 |
| Sell | 0 | 0 |
| Strong Sell | 0 | 0 |
Quality scores
Altman Z-Score
70.82
Safe zone
Piotroski F-Score
3 / 9
Average
MOAT Score
2 / 10
No MOAT
Composite Rating
C-
Overall Score
1 / 5
Low
DCF Score
1 / 5
Low
ROE Score
1 / 5
Low
ROA Score
1 / 5
Low
D/E Score
3 / 5
Medium
P/E Score
1 / 5
Low
P/Book Score
2 / 5
Medium
Operational MOAT
✗ Below peers
-
Revenue growth Asset Management: +17.4%-109.7% Q1'26: -94.2% (vs Q1'25)
-
EPS growth Asset Management: +22.7%+25.4% ★ Q1'26: -100.0% (vs Q1'25)
-
FCF margin FCF growth · Asset Management: +27.7%-299.9% Q1'26: +38.7% (vs Q1'25)
-
EBIT margin Asset Management: +50.6%-268.6% Q1'26: +0.0% (vs Q1'25)
-
ROIC Asset Management: +6.5%-19.9%
-
Share dilution Asset Management: +0.0%+0.9% Q1'26: +11.3% (vs Q1'25)
-
Debt / EBITDA Net debt/EBITDA · Asset Management: -0.03×-0.58×
Valuation Multiples
From
To
Price Forecast (3Y)
From
To
Theoretical Return — If Invested Today
* These projections are based on analyst consensus estimates and user-defined valuation multiples. This table is for informational purposes only and does not constitute a recommendation to buy or sell any security. Past performance is not indicative of future results.
Consensus Estimates
| Metric |
Dec 2010 actual |
Dec 2011 actual |
Dec 2023 actual |
Dec 2024 actual |
Dec 2025 actual |
|---|---|---|---|---|---|
| Revenue |
-9.18M
est: 9.02M (-201.7%)
|
-490.0K
est: 11.27M (-104.3%)
|
17.23M
est: 72.28M (-76.2%)
|
-14.19M
est: 87.75M (-116.2%)
|
1.37M
est: 102.09M (-98.7%)
|
| EBITDA |
-12.85M
est: 4.93M (-360.7%)
|
-4.53M
est: 6.16M (-173.5%)
|
12.95M
est: 39.50M (-67.2%)
|
-18.78M
est: 12.85M (-246.1%)
|
-3.69M
est: 14.95M (-124.7%)
|
| EBIT |
-12.85M
est: 4.93M (-360.7%)
|
-4.53M
est: 6.16M (-173.5%)
|
12.95M
est: 39.50M (-67.2%)
|
-18.78M
est: 12.85M (-246.1%)
|
-3.69M
est: 14.95M (-124.7%)
|
| Net Income |
-12.85M
|
-4.53M
|
12.95M
est: -842.3K (+1,637.3%)
|
-18.78M
est: 5.80M (-423.6%)
|
-14.16M
est: 11.41M (-224.1%)
|
| SGA |
2.24M
est: 1.41M (+59.0%)
|
2.74M
est: 1.76M (+55.3%)
|
2.31M
est: 11.30M (-79.6%)
|
2.65M
est: 55.32M (-95.2%)
|
2.87M
est: 64.37M (-95.5%)
|
| EPS |
-1.45
|
-0.45
|
0.96
est: -0.06 (+1,648.4%)
|
-1.38
est: 0.42 (-426.0%)
|
-1.03
est: 0.83 (-223.7%)
|
Historical Ratings (3M)
| Date | Rating | Overall | DCF | ROE | ROA | D/E | P/E | P/B |
|---|---|---|---|---|---|---|---|---|
| 2026-05-18 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-15 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-14 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-13 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-12 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-11 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-08 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-07 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-06 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-05 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-04 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-05-01 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-04-30 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-04-29 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-04-28 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 3/5 | 1/5 | 2/5 |
| 2026-04-27 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 3/5 |
| 2026-04-24 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 2/5 |
| 2026-04-23 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 2/5 |
| 2026-04-22 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 3/5 |
| 2026-04-21 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 2/5 |
| 2026-04-20 | C- | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 2/5 |
| 2026-04-17 | D+ | 1/5 | 1/5 | 1/5 | 1/5 | 2/5 | 1/5 | 1/5 |
| 2026-04-16 | C+ | 2/5 | 4/5 | 1/5 | 1/5 | 2/5 | 1/5 | 3/5 |
Owner Earnings
Owner's Earnings (history)
Owner's Earnings history not available.
Owner alignment
Owner's Earnings TTM
—
OE per share TTM
—
Owner's Yield
—
Maintenance CapEx ratio
—
Maint CapEx / Avg PPE
—
Ownership Overview
Ownership breakdown
At a glance
Institutional holders
5
Total invested
98.6K
Insider transactions (90d)
0
Beneficial owners (>5%)
31
Beneficial owners (>5%)
| # | Reporting person | Amount owned | % of class | Sole voting | Shared voting | Sole dispositive | Shared dispositive | Type | Citizenship | Filing date | SEC filing |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | John A. Hardy | 3.73M | 27.58% | 500.0K | 3.23M | 500.0K | 10.00 | IN | Canada | 2020-07-20 | ↗ |
| 2 | Benton Capital Inc. | 3.23M | 23.88% | 3.23M | — | 3.23M | 10.00 | CO | British Columbia, Canada | 2020-07-20 | ↗ |
| 3 | Tokarz | 3.17M | 23.50% | 3.17M | — | 3.17M | — | IN | — | 2021-10-04 | ↗ |
| 4 | 9.82% | 1.33M | 9.82% | 1.33M | — | 1.33M | — | IN | United States America | 2021-07-16 | ↗ |
| 5 | Bradley L. Radoff | 913.3K | 6.80% | 913.3K | — | 913.3K | — | IN | USA | 2022-02-14 | ↗ |
| 6 | Clayton | 889.1K | 10.60% | 889.1K | — | 889.1K | 10.00 | IN | States of America | 2009-05-04 | ↗ |
| 7 | Clayton & Co., Inc. | 889.1K | 10.60% | 889.1K | — | 889.1K | 10.00 | CO | Delaware | 2009-05-04 | ↗ |
| 8 | Europe Limited | 889.1K | 10.60% | 889.1K | — | 889.1K | 10.00 | CO | Kingdom | 2009-05-04 | ↗ |
| 9 | I. Denos | 889.1K | 10.60% | 889.1K | — | 889.1K | 10.00 | IN | States of America | 2009-05-04 | ↗ |
| 10 | R. Moore | 889.1K | 10.60% | 889.1K | — | 889.1K | 10.00 | IN | Kingdom and United States of America | 2009-05-04 | ↗ |
| 11 | Christian Kruppa | 850.0K | 8.05% | — | 850.0K | — | 10.00 | IN | Italy | 2011-05-11 | ↗ |
| 12 | Khan Investments Ltd. | 850.0K | 8.05% | 850.0K | — | 850.0K | 10.00 | CO | Dubai | 2011-05-11 | ↗ |
| 13 | ELLIOT LAZAR | 695.4K | 5.10% | 63.2K | 632.2K | 63.2K | 632.2K | IN | ISRAEL | 2021-07-20 | ↗ |
| 14 | Howard Todd Horberg | 682.6K | 5.05% | 682.6K | — | 682.6K | — | IN | USA | 2022-10-07 | ↗ |
| 15 | Douglass | 671.2K | 7.60% | 671.2K | — | 671.2K | — | IN | United States | 2009-06-04 | ↗ |
| 16 | VENTURES LLC | 632.2K | 4.70% | — | 632.2K | — | 632.2K | OO | WYOMING | 2021-07-20 | ↗ |
| 17 | Gabriel Lahyani | 470.0K | 4.45% | — | 470.0K | — | 10.00 | IN | Italy | 2012-10-03 | ↗ |
| 18 | Kekovia Enterprises Company Limited | 470.0K | 4.45% | 470.0K | — | 470.0K | 10.00 | CO | Cyprus | 2012-10-03 | ↗ |
| 19 | E. LAZAR | 463.3K | 3.40% | 463.3K | — | 463.3K | 10.00 | IN | ISRAEL | 2022-07-11 | ↗ |
| 20 | Anthony R. Moore | 357.5K | 4.03% | 357.5K | — | 357.5K | 10.00 | IN | United Kingdom and United States of America | 2009-08-14 | ↗ |
| 21 | Kenneth I. Denos | 357.5K | 4.03% | 357.5K | — | 357.5K | 10.00 | IN | United States of America | 2009-08-14 | ↗ |
| 22 | MCC Europe Limited | 357.5K | 4.03% | 357.5K | — | 357.5K | 10.00 | CO | United Kingdom | 2009-08-14 | ↗ |
| 23 | Moore, Clayton & Co., Inc. | 357.5K | 4.03% | 357.5K | — | 357.5K | 10.00 | CO | Delaware | 2009-08-14 | ↗ |
| 24 | Sharon Clayton | 357.5K | 4.03% | 357.5K | — | 357.5K | 10.00 | IN | United States of America | 2009-08-14 | ↗ |
| 25 | FBO Brooke Douglass | 282.8K | 3.20% | 282.8K | — | 282.8K | — | OO | Texas | 2009-06-04 | ↗ |
| 26 | FBO S. Preston Douglass, Jr. | 282.8K | 3.20% | 282.8K | — | 282.8K | — | OO | Texas | 2009-06-04 | ↗ |
| 27 | 56-1473727 | 170.0K | 5.80% | 170.0K | — | 170.0K | — | HC | Reporting Person With | 1996-02-15 | ↗ |
| 28 | Paula T. Douglass | 115.8K | 1.30% | 115.8K | — | 115.8K | — | IN | United States | 2009-06-04 | ↗ |
| 29 | MVC Capital, Inc. | — | 0.00% | — | — | — | — | IV | — | 2020-07-20 | ↗ |
| 30 | Michael T. Tokarz | — | 0.00% | — | — | — | — | IN | — | 2020-07-20 | ↗ |
| 31 | The Tokarz Group Advisers, LLC | — | 0.00% | — | — | — | — | IA | — | 2020-07-20 | ↗ |
Institutional Activity (13F)
Institutional ownership trend
From
To
13F snapshot — 2026 Q1
Investors holding
5
-5 vs prev Q
New positions
0
Closed positions
5
Increased
0
Reduced
0
Put/Call ratio
0.00
Calls held
—
Puts held
—
Top institutional holders
| # | Investor | Shares / Δ | Mkt value / Δ | Own% / Δ | Weight% / Δ | Avg px / Perf. | Hold / Status |
|---|---|---|---|---|---|---|---|
| 1 | MORGAN STANLEY | 35.7K +— (+0.0%) | 50.5K -29.8K (-37.1%) | 0.26% -0.002 pp | 0.00% +0.000 pp | USD1.99 -29.1% | 21 qtrs — |
| 2 | SHUFRO ROSE & CO LLC | 31.3K -28.7K (-47.9%) | 44.3K -16.3K (-27.0%) | 0.23% -0.213 pp | 0.00% -0.002 pp | USD2.46 -42.7% | 54 qtrs — |
| 3 | CITADEL ADVISORS LLC | 23.9K +23.9K (+100.0%) | 33.8K +33.8K (+100.0%) | 0.17% +0.175 pp | 0.00% +0.000 pp | USD1.41 +0.0% | 1 qtrs NEW |
| 4 | MSH CAPITAL ADVISORS LLC | 21.7K +5.0K (+30.0%) | 30.7K -6.8K (-18.3%) | 0.16% +0.036 pp | 0.01% -0.004 pp | USD2.06 -31.6% | 2 qtrs — |
| 5 | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC | 20.0K +— (+0.0%) | 28.3K -16.7K (-37.1%) | 0.15% -0.001 pp | 0.01% -0.004 pp | USD2.25 -37.3% | 2 qtrs — |
| 6 | BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | 9.1K +— (+0.0%) | 12.9K -7.6K (-37.1%) | 0.07% -0.001 pp | 0.00% -0.001 pp | USD2.32 -39.2% | 51 qtrs — |
| 7 | ADVISOR GROUP HOLDINGS, INC. | 4.2K +— (+0.0%) | 6.0K -3.6K (-37.5%) | 0.03% 0.000 pp | 0.00% +0.000 pp | USD1.27 +11.0% | 24 qtrs — |
| 8 | NBC SECURITIES, INC. | 2.8K +— (+0.0%) | 4.0K -2.3K (-37.1%) | 0.02% 0.000 pp | 0.00% 0.000 pp | USD1.01 +39.6% | 10 qtrs — |
| 9 | UBS GROUP AG | 739.00 +739.0 (+100.0%) | 1.0K +1.0K (+100.0%) | 0.01% +0.005 pp | 0.00% +0.000 pp | USD1.41 +0.0% | 8 qtrs — |
| 10 | WELLS FARGO & COMPANY/MN | 1.00 +— (+0.0%) | 1.00 +— (+0.0%) | 0.00% +0.000 pp | 0.00% +0.000 pp | USD1.00 +41.0% | 11 qtrs — |
Ownership breakdown by holder
ETF Ownership
Top ETFs holding this stock
Held by 1 ETFs in our universe
| # | ETF | Weight | Est. AUM exposure | TER |
|---|---|---|---|---|
| 1 | Schwab International Small-Cap Equity ETF SCHC | 0.01% | 420.2K | 0.06% |
Insider Activity
Insider Activity — Latest Quarter
Ratio by transactions
0.00
Bearish
Buys
2
Sells
0
Shares acquired
383.7K
Shares disposed
—
Cash buys
—
Cash sales
—
Net activity
+383,682
Insider buys vs sells (history)
From
To
Recent insider transactions
From
To
| Date | Person | Role | Transaction | A/D | Security | Shares | Price | Value | Owned after | D/I | Filing |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2025-09-16 | Hardy John A. | Director / Officer / 10% Owner | A-Award | A | Common Stock | 133,682 | 2.51 | 335.5K | 3,861,706 | I | ↗ |
| 2025-09-16 | Denos Kenneth I | Director / Officer | A-Award | A | Common | 66,841 | 2.51 | 167.8K | 332,595 | I | ↗ |
| 2023-07-14 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 1,000 | 1.48 | 1.5K | 93,670 | — | ↗ |
| 2021-09-29 | des Pallieres Bertrand | 10% Owner | S-Sale | D | Common Stock | 1,844,259 | 2.40 | 4.43M | 345,433 | — | ↗ |
| 2021-09-28 | TOKARZ MICHAEL T | 10% Owner | — | D | Common Stock, par value $0.001 per share | 0 | 0.00 | — | 3,172,237 | — | ↗ |
| 2021-04-29 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 4,034 | 1.89 | 7.6K | 45,591 | — | ↗ |
| 2021-04-28 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 700 | 1.89 | 1.3K | 41,557 | — | ↗ |
| 2021-04-27 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 100 | 1.90 | 190.00 | 40,857 | — | ↗ |
| 2021-04-26 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 1,352 | 1.90 | 2.6K | 40,757 | — | ↗ |
| 2021-04-23 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 18,016 | 1.89 | 34.1K | 39,405 | — | ↗ |
| 2020-07-16 | Tokarz Group Advisers LLC | — | S-Sale | D | Common Stock, par value $0.001 per share | 3,228,024 | 1.17 | 3.78M | 0 | — | ↗ |
| 2020-07-16 | TOKARZ MICHAEL T | — | S-Sale | D | Common Stock, par value $0.001 per share | 3,228,024 | 1.17 | 3.78M | 0 | — | ↗ |
| 2020-07-16 | MVC CAPITAL, INC. | — | S-Sale | D | Common Stock, par value $0.001 per share | 3,228,024 | 1.17 | 3.78M | 0 | — | ↗ |
| 2020-07-16 | Hardy John A. | Director / Officer / 10% Owner | P-Purchase | A | Common Stock | 3,228,024 | 1.17 | 3.78M | 3,728,024 | — | ↗ |
| 2019-08-12 | Tokarz Group Advisers LLC | Director | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.62 | 985.5K | 3,228,024 | — | ↗ |
| 2019-08-12 | TOKARZ MICHAEL T | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.62 | 985.5K | 3,228,024 | — | ↗ |
| 2019-08-12 | MVC CAPITAL, INC. | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.62 | 985.5K | 3,228,024 | — | ↗ |
| 2019-07-29 | Tokarz Group Advisers LLC | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2019-07-29 | TOKARZ MICHAEL T | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2019-07-29 | MVC CAPITAL, INC. | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2019-07-26 | Tokarz Group Advisers LLC | — | J-Other | A | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 4,444,644 | — | ↗ |
| 2019-07-26 | TOKARZ MICHAEL T | — | J-Other | A | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2019-07-26 | MVC CAPITAL, INC. | — | J-Other | A | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2019-07-24 | Tokarz Group Advisers LLC | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2019-07-24 | TOKARZ MICHAEL T | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,228,024 | — | ↗ |
| 2019-07-24 | MVC CAPITAL, INC. | — | S-Sale | D | Common Stock, par value $0.001 per share | 608,310 | 1.70 | 1.03M | 3,836,334 | — | ↗ |
| 2017-03-21 | Bergner Richard F | Director | P-Purchase | A | Common stock | 19,500 | 2.40 | 46.8K | 19,500 | — | ↗ |
| 2017-03-17 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 15,000 | 2.40 | 36.0K | 2,199,692 | — | ↗ |
| 2017-03-17 | KNAUSS ROBERT L | Director | P-Purchase | A | Common stock | 21,000 | 2.40 | 50.4K | 92,670 | — | ↗ |
| 2017-03-17 | Hardy John A. | Director / Officer | P-Purchase | A | Common Stock | 500,000 | 2.40 | 1.20M | 500,000 | — | ↗ |
| 2017-03-17 | Hankinson Henry W | Director | P-Purchase | A | Common stock | 19,500 | 2.40 | 46.8K | 19,500 | — | ↗ |
| 2017-03-17 | Denos Kenneth I | Director / Officer | P-Purchase | A | Common stock | 250,000 | 2.40 | 600.0K | 265,754 | — | ↗ |
| 2017-03-17 | Bergner Richard F | Director | P-Purchase | A | Common stock | 19,500 | 2.40 | 46.8K | 19,500 | — | ↗ |
| 2017-03-17 | Atkinson Fraser | Director | P-Purchase | A | Common stock | 19,500 | 2.40 | 46.8K | 21,389 | — | ↗ |
| 2016-03-03 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 429 | 1.50 | 643.50 | 2,184,692 | — | ↗ |
| 2016-03-02 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 100 | 1.50 | 150.00 | 2,184,263 | — | ↗ |
| 2016-02-26 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 4,400 | 1.50 | 6.6K | 2,184,163 | — | ↗ |
| 2016-02-25 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 9,351 | 1.50 | 14.0K | 2,179,763 | — | ↗ |
| 2016-01-21 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 177 | 1.50 | 265.50 | 2,170,412 | — | ↗ |
| 2016-01-20 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common stock | 25,000 | 1.55 | 38.8K | 2,161,835 | — | ↗ |
| 2015-11-25 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | D | Common Stock | 42,284 | 1.50 | 63.4K | 2,619,662 | — | ↗ |
| 2015-11-25 | KNAUSS ROBERT L | Director | P-Purchase | D | Common stock | 1,000 | 1.55 | 1.5K | 71,670 | — | ↗ |
| 2015-11-24 | KNAUSS ROBERT L | Director | P-Purchase | D | Common stock | 1,000 | 1.54 | 1.5K | 61,670 | — | ↗ |
| 2015-11-20 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 3,638 | 1.45 | 5.3K | 2,577,378 | — | ↗ |
| 2015-11-20 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 6,000 | 1.52 | 9.1K | 51,670 | — | ↗ |
| 2015-11-19 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 5,000 | 1.51 | 7.6K | 45,670 | — | ↗ |
| 2015-11-18 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 25,000 | 1.50 | 37.5K | 2,573,740 | — | ↗ |
| 2014-06-12 | Tokarz Group Advisers LLC | 10% Owner | P-Purchase | A | Common Stock | 970,087 | 2.45 | 2.38M | 4,444,644 | — | ↗ |
| 2014-06-12 | TOKARZ MICHAEL T | 10% Owner | P-Purchase | A | Common Stock | 970,087 | 2.45 | 2.38M | 4,444,644 | — | ↗ |
| 2014-06-12 | Mobiquity Investments Ltd | Director / 10% Owner | D-Return | D | Common Stock | 960,087 | 2.45 | 2.35M | 10,000 | — | ↗ |
| 2014-06-12 | MVC CAPITAL, INC. | 10% Owner | P-Purchase | A | Common Stock | 970,087 | 2.45 | 2.38M | 4,444,644 | — | ↗ |
| 2014-06-03 | Tokarz Group Advisers LLC | 10% Owner | P-Purchase | A | Common Stock | 850,000 | 2.40 | 2.04M | 3,474,557 | — | ↗ |
| 2014-06-03 | TOKARZ MICHAEL T | 10% Owner | P-Purchase | A | Common Stock | 850,000 | 2.40 | 2.04M | 3,474,557 | — | ↗ |
| 2014-06-03 | MVC CAPITAL, INC. | 10% Owner | P-Purchase | A | Common Stock | 850,000 | 2.40 | 2.04M | 3,474,557 | — | ↗ |
| 2014-05-21 | Tokarz Group Advisers LLC | 10% Owner | P-Purchase | A | Common Stock | 512,557 | 2.40 | 1.23M | 2,624,557 | — | ↗ |
| 2014-05-21 | TOKARZ MICHAEL T | 10% Owner | P-Purchase | A | Common Stock | 512,557 | 2.40 | 1.23M | 2,624,557 | — | ↗ |
| 2014-05-21 | MVC CAPITAL, INC. | 10% Owner | P-Purchase | A | Common Stock | 512,557 | 2.40 | 1.23M | 2,624,557 | — | ↗ |
| 2014-05-14 | Tokarz Group Advisers LLC | 10% Owner | — | I | Common Stock | 0 | 0.00 | — | 2,112,000 | — | ↗ |
| 2014-05-14 | TOKARZ MICHAEL T | 10% Owner | — | I | Common Stock | 0 | 0.00 | — | 2,112,000 | — | ↗ |
| 2014-05-14 | MVC CAPITAL, INC. | 10% Owner | — | D | Common Stock | 0 | 0.00 | — | 2,112,000 | — | ↗ |
| 2014-04-07 | KNAUSS ROBERT L | Director | P-Purchase | A | Common stock | 5,000 | 1.88 | 9.4K | 40,670 | — | ↗ |
| 2014-04-04 | KNAUSS ROBERT L | Director | P-Purchase | A | Common stock | 5,000 | 1.88 | 9.4K | 35,670 | — | ↗ |
| 2013-07-31 | des Pallieres Bertrand | Director / 10% Owner | P-Purchase | A | Common Stock | 145,833 | 2.40 | 350.0K | 3,026,000 | — | ↗ |
| 2013-07-23 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 1,492 | 1.89 | 2.8K | 2,020,364 | — | ↗ |
| 2013-07-22 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 1,574 | 1.89 | 3.0K | 2,018,872 | — | ↗ |
| 2012-12-20 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 986,842 | 2.65 | 2.61M | 2,017,298 | — | ↗ |
| 2011-12-06 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 7,125 | 2.05 | 14.6K | 970,087 | — | ↗ |
| 2011-09-16 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 31 | 2.20 | 68.20 | 1,889 | — | ↗ |
| 2011-09-15 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 34 | 2.12 | 72.08 | 1,584 | — | ↗ |
| 2011-09-12 | Atkinson Fraser | Director | P-Purchase | A | Common Stock | 1,550 | 2.12 | 3.3K | 1,550 | — | ↗ |
| 2011-09-02 | Benedetti Alessandro | Director / Officer | P-Purchase | A | Common Stock | 400,000 | 2.75 | 1.10M | 1,362,962 | — | ↗ |
| 2011-08-17 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 9,614 | 2.32 | 22.3K | 25,484 | — | ↗ |
| 2010-12-22 | Douglass Paula Terry | 10% Owner | — | D | Common Stock, par value $0.001 | 0 | 0.00 | — | 970,969 | — | ↗ |
| 2010-12-20 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 3,500 | 2.39 | 8.4K | 962,962 | — | ↗ |
| 2010-12-16 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 7,501 | 2.25 | 16.9K | 956,902 | — | ↗ |
| 2010-12-15 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 100 | 2.25 | 225.00 | 1,009,770 | — | ↗ |
| 2010-12-15 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 1,037 | 2.25 | 2.3K | 949,401 | — | ↗ |
| 2010-12-14 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 645 | 2.25 | 1.5K | 948,364 | — | ↗ |
| 2010-12-13 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 1,072 | 2.20 | 2.4K | 947,019 | — | ↗ |
| 2010-12-10 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 1,100 | 2.20 | 2.4K | 945,947 | — | ↗ |
| 2010-12-09 | Mobiquity Investments Ltd | Director / 10% Owner | P-Purchase | A | Common Stock | 88,456 | 2.19 | 193.7K | 944,847 | — | ↗ |
| 2010-12-06 | Mobiquity Investments Ltd | Director | P-Purchase | A | Common Stock | 11,239 | 2.10 | 23.6K | 854,847 | — | ↗ |
| 2010-12-03 | Mobiquity Investments Ltd | Director | P-Purchase | A | Common Stock | 4,000 | 2.10 | 8.4K | 843,608 | — | ↗ |
| 2010-12-02 | Mobiquity Investments Ltd | Director | P-Purchase | A | Common Stock | 477 | 2.08 | 992.16 | 839,608 | — | ↗ |
| 2010-12-01 | Mobiquity Investments Ltd | Director | P-Purchase | A | Common Stock | 100 | 2.08 | 208.00 | 839,131 | — | ↗ |
| 2010-11-24 | Mobiquity Investments Ltd | Director | P-Purchase | A | Common Stock | 7,000 | 2.03 | 14.2K | 839,031 | — | ↗ |
| 2010-11-22 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 40,000 | 2.09 | 83.6K | 882,300 | — | ↗ |
| 2010-11-19 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 9,025 | 2.12 | 19.1K | 842,300 | — | ↗ |
| 2010-11-17 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 8,644 | 2.16 | 18.7K | 833,275 | — | ↗ |
| 2010-11-15 | des Pallieres Bertrand | Director | P-Purchase | A | Common Stock | 2,600 | 2.23 | 5.8K | 824,631 | — | ↗ |
| 2010-06-07 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 1,400 | 2.71 | 3.8K | 4,514 | — | ↗ |
| 2010-06-04 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 1,000 | 2.70 | 2.7K | 5,914 | — | ↗ |
| 2010-06-03 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 3,000 | 2.73 | 8.2K | 6,914 | — | ↗ |
| 2010-06-02 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 1,600 | 2.80 | 4.5K | 9,914 | — | ↗ |
| 2010-05-20 | des Pallieres Bertrand | Director | — | I | Common Stock | 0 | 0.00 | — | 822,031 | — | ↗ |
| 2010-05-20 | Mobiquity Investments Ltd | Director | — | I | Common Stock | 0 | 0.00 | — | 822,031 | — | ↗ |
| 2010-05-20 | Hardy John A. | Director | — | I | Common Stock | 0 | 0.00 | — | 822,031 | — | ↗ |
| 2010-05-20 | Benedetti Alessandro | Director | — | I | Common Stock | 0 | 0.00 | — | 822,031 | — | ↗ |
| 2010-05-20 | Atkinson Fraser | Director | — | I | Common Stock | 0 | 0.00 | — | 822,031 | — | ↗ |
| 2010-04-15 | Denos Kenneth I | Director | P-Purchase | A | Common Stock | 15,754 | 3.01 | 47.4K | 15,754 | — | ↗ |
| 2010-04-13 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 2,500 | 3.01 | 7.5K | 14,014 | — | ↗ |
| 2010-04-12 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 2,500 | 3.01 | 7.5K | 11,514 | — | ↗ |
| 2010-04-09 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 2,500 | 3.01 | 7.5K | 16,514 | — | ↗ |
| 2010-04-08 | FLANAGAN GREGORY J | Director | S-Sale | D | Common Stock | 2,500 | 2.98 | 7.5K | 19,014 | — | ↗ |
| 2010-03-31 | Funston Lance T | — | — | D | Common Stock | 0 | 0.00 | — | 217,033 | — | ↗ |
| 2010-02-16 | Brown Samuel Jones Jay IV | Officer | — | — | — | 0 | 0.00 | — | 0 | — | ↗ |
| 2009-10-05 | Moore, Clayton & Co., Inc. | Director | S-Sale | D | Equus Total Return, Inc. | 205,889 | 3.26 | 671.2K | 151,569 | — | ↗ |
| 2009-10-05 | Denos Kenneth I | Director | S-Sale | D | Equus Total Return, Inc. | 205,889 | 3.26 | 671.2K | 151,569 | — | ↗ |
| 2009-09-01 | FLANAGAN GREGORY J | Director / Officer | P-Purchase | A | Common Stock | 400 | 3.25 | 1.3K | 21,514 | — | ↗ |
| 2009-08-28 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 3,000 | 3.29 | 9.9K | 10,670 | — | ↗ |
| 2009-08-27 | FLANAGAN GREGORY J | Director / Officer | P-Purchase | A | Common Stock | 1,600 | 3.25 | 5.2K | 21,114 | — | ↗ |
| 2009-08-03 | Moore, Clayton & Co., Inc. | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 531,680 | 3.35 | 1.78M | 357,458 | — | ↗ |
| 2009-08-03 | Moore Anthony R | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 531,680 | 3.35 | 1.78M | 357,458 | — | ↗ |
| 2009-08-03 | Denos Kenneth I | Director / 10% Owner | S-Sale | D | Equus Total Return, Inc. | 531,680 | 3.35 | 1.78M | 357,458 | — | ↗ |
| 2009-08-03 | Clayton Sharon | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 531,680 | 3.35 | 1.78M | 357,458 | — | ↗ |
| 2009-04-24 | Moore, Clayton & Co., Inc. | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 4,022 | 3.69 | 14.8K | 888,138 | — | ↗ |
| 2009-04-24 | Moore Anthony R | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 4,022 | 3.69 | 14.8K | 888,138 | — | ↗ |
| 2009-04-24 | Denos Kenneth I | Director / Officer / 10% Owner | S-Sale | D | Equus Total Return, Inc. | 4,023 | 3.69 | 14.8K | 892,160 | — | ↗ |
| 2009-04-24 | Clayton Sharon | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 6,998 | 3.69 | 25.8K | 830,057 | — | ↗ |
| 2009-04-06 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 2,000 | 2.56 | 5.1K | 7,670 | — | ↗ |
| 2008-11-21 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 2,000 | 4.20 | 8.4K | 5,506 | — | ↗ |
| 2008-11-20 | FLANAGAN GREGORY J | Director | P-Purchase | A | Common Stock | 1,150 | 4.29 | 4.9K | 18,271 | — | ↗ |
| 2008-11-19 | FLANAGAN GREGORY J | Director | P-Purchase | A | Common Stock | 1,150 | 4.50 | 5.2K | 17,121 | — | ↗ |
| 2008-08-01 | Moore, Clayton & Co., Inc. | Director | S-Sale | D | Common Stock | 169,584 | 7.11 | 1.21M | 849,292 | — | ↗ |
| 2008-08-01 | Moore Anthony R | Director / 10% Owner | S-Sale | D | Common Stock | 169,584 | 7.11 | 1.21M | 849,292 | — | ↗ |
| 2008-08-01 | Denos Kenneth I | Director / Officer / 10% Owner | S-Sale | D | Common Stock | 169,584 | 7.11 | 1.21M | 849,292 | — | ↗ |
| 2008-08-01 | Clayton Sharon | Director / 10% Owner | S-Sale | D | Common Stock | 169,584 | 7.11 | 1.21M | 849,292 | — | ↗ |
| 2008-04-08 | Douglass Paula Terry | Officer | P-Purchase | A | Common Stock | 600 | 6.95 | 4.2K | 50,268 | — | ↗ |
| 2008-04-08 | DOUGLASS SAM P | Director / Officer | P-Purchase | A | Common Stock | 600 | 6.95 | 4.2K | 50,268 | — | ↗ |
| 2008-04-07 | Douglass Paula Terry | Officer | P-Purchase | A | Common Stock | 2,100 | 6.93 | 14.6K | 51,359 | — | ↗ |
| 2008-04-07 | DOUGLASS SAM P | Director / Officer | P-Purchase | A | Common Stock | 2,100 | 6.93 | 14.6K | 51,359 | — | ↗ |
| 2008-04-04 | Douglass Paula Terry | Officer | P-Purchase | A | Common Stock | 300 | 6.75 | 2.0K | 46,568 | — | ↗ |
| 2008-04-04 | DOUGLASS SAM P | Director / Officer | P-Purchase | A | Common Stock | 500 | 6.92 | 3.5K | 49,259 | — | ↗ |
| 2008-04-03 | Douglass Paula Terry | Officer | P-Purchase | A | Common Stock | 500 | 6.75 | 3.4K | 48,759 | — | ↗ |
| 2008-04-03 | DOUGLASS SAM P | Director / Officer | P-Purchase | A | Common Stock | 500 | 6.75 | 3.4K | 48,759 | — | ↗ |
| 2007-11-28 | Douglass Paula Terry | Officer | P-Purchase | A | Common Stock | 100 | 6.34 | 634.00 | 34,515 | — | ↗ |
| 2007-11-28 | DOUGLASS SAM P | Director / Officer | P-Purchase | A | Common Stock | 7,100 | 6.39 | 45.4K | 44,715 | — | ↗ |
| 2007-11-27 | FLANAGAN GREGORY J | Director | P-Purchase | A | Common Stock | 3,000 | 6.10 | 18.3K | 15,000 | — | ↗ |
| 2007-11-27 | Douglass Paula Terry | Officer | P-Purchase | A | Common Stock | 2,900 | 6.00 | 17.4K | 25,715 | — | ↗ |
| 2007-11-27 | DOUGLASS SAM P | Director / Officer | P-Purchase | A | Common Stock | 2,900 | 6.00 | 17.4K | 25,715 | — | ↗ |
| 2007-09-27 | Moore, Clayton & Co., Inc. | 10% Owner | S-Sale | D | Equus Total Return, Inc. | 189,716 | 1,266,355.00 | 240.25B | 1,273,252 | — | ↗ |
| 2007-09-27 | Moore Anthony R | Director / 10% Owner | S-Sale | D | Equus Total Return, Inc. | 189,716 | 1,266,355.00 | 240.25B | 1,273,252 | — | ↗ |
| 2007-09-27 | Douglass Paula Terry | Officer | J-Other | A | Common Stock | 189,716 | 7.74 | 1.47M | 490,582 | — | ↗ |
| 2007-09-27 | Denos Kenneth I | Director / Officer / 10% Owner | S-Sale | D | Equus Total Return, Inc. | 189,716 | 1,266,355.00 | 240.25B | 1,273,252 | — | ↗ |
| 2007-09-27 | DOUGLASS SAM P | Director / Officer | J-Other | A | Common Stock | 189,716 | 7.74 | 1.47M | 490,582 | — | ↗ |
| 2007-09-27 | Clayton Sharon | Director / 10% Owner | S-Sale | D | Equus Total Return, Inc. | 189,716 | 1,266,355.00 | 240.25B | 1,273,252 | — | ↗ |
| 2007-05-23 | FEINSILVER ALAN D | Director | S-Sale | D | Common Stock | 1,955 | 8.83 | 17.3K | 8,200 | — | ↗ |
| 2006-11-14 | Hudson L'Sheryl D | Officer | — | — | — | 0 | 0.00 | — | 0 | — | ↗ |
| 2006-08-17 | FLANAGAN GREGORY J | Director | P-Purchase | A | Common Stock | 2,733 | 7.20 | 19.7K | 12,000 | — | ↗ |
| 2006-06-15 | Douglass Paula Terry | Officer | — | I | Common Stock | 0 | 0.00 | — | 46,446 | — | ↗ |
| 2006-05-18 | TUGGLE FRANCIS D DR | Director | P-Purchase | A | Common Stock | 80 | 7.43 | 594.40 | 6,000 | — | ↗ |
| 2006-03-22 | TUGGLE FRANCIS D DR | Director | J-Other | A | Common Stock | 1,482 | 7.49 | 11.1K | 5,920 | — | ↗ |
| 2006-03-22 | KNAUSS ROBERT L | Director | J-Other | A | Common Stock | 598 | 7.49 | 4.5K | 2,389 | — | ↗ |
| 2006-03-22 | Boyd Charles M | Director | J-Other | A | Common Stock | 267 | 7.49 | 2.0K | 1,067 | — | ↗ |
| 2006-02-23 | Moore, Clayton & Co., Inc. | 10% Owner | P-Purchase | D | Common Stock | 315,000 | 7.08 | 2.23M | 1,463,013 | — | ↗ |
| 2006-02-23 | Moore Anthony R | Director | P-Purchase | D | Common Stock | 315,000 | 7.08 | 2.23M | 1,463,013 | — | ↗ |
| 2006-02-23 | MCC Europe LTD | 10% Owner | P-Purchase | D | Common Stock | 315,000 | 7.08 | 2.23M | 1,463,013 | — | ↗ |
| 2006-02-23 | Clayton Sharon | Director | P-Purchase | D | Common Stock | 315,000 | 7.08 | 2.23M | 1,463,013 | — | ↗ |
| 2005-12-31 | MCC Europe LTD | 10% Owner | P-Purchase | A | Common Stock | 517,158 | 9.90 | 5.12M | 1,628,408 | — | ↗ |
| 2005-12-30 | Moore, Clayton & Co., Inc. | 10% Owner | P-Purchase | A | Common Stock | 149,605 | 9.90 | 1.48M | 1,778,013 | — | ↗ |
| 2005-12-30 | Moore Anthony R | Director / Officer | P-Purchase | A | Common Stock | 149,605 | 9.90 | 1.48M | 1,778,013 | — | ↗ |
| 2005-12-30 | MCC Europe LTD | 10% Owner | P-Purchase | A | Common Stock | 149,605 | 9.90 | 1.48M | 1,778,013 | — | ↗ |
| 2005-12-30 | Clayton Sharon | Director | P-Purchase | A | Common Stock | 149,605 | 9.90 | 1.48M | 1,778,013 | — | ↗ |
| 2005-12-01 | Boyd Charles M | Director | P-Purchase | A | Common Stock | 800 | 9.30 | 7.4K | 800 | — | ↗ |
| 2005-11-16 | Walsh James M | Director | P-Purchase | A | Common Stock | 500 | 9.25 | 4.6K | 3,000 | — | ↗ |
| 2005-08-23 | Walsh James M | Director | P-Purchase | A | Common Stock | 500 | 8.70 | 4.4K | 2,000 | — | ↗ |
| 2005-08-22 | Walsh James M | Director | P-Purchase | A | Common Stock | 500 | 8.62 | 4.3K | 1,500 | — | ↗ |
| 2005-08-22 | KNAUSS ROBERT L | Director | P-Purchase | A | Common Stock | 1,000 | 8.70 | 8.7K | 1,791 | — | ↗ |
| 2005-06-30 | Williams Edward E | Director | S-Sale | D | Common Stock | 2,200 | 8.38 | 18.4K | 47,781 | — | ↗ |
| 2005-06-30 | Walters James Philip | Officer | S-Sale | D | Common Stock | 50,000 | 8.38 | 419.0K | 0 | — | ↗ |
| 2005-06-30 | Walsh James M | Director | — | D | Common Stock | 0 | 0.00 | — | 1,000 | — | ↗ |
| 2005-06-30 | TUGGLE FRANCIS D DR | Director | J-Other | D | Incentive Stock Options (right to buy) | 1,100 | 14.15 | 15.6K | 0 | — | ↗ |
| 2005-06-30 | STORMS JOHN W | Director | M-Exempt | D | Incentive Stock Options (right to buy) | 2,200 | 7.80 | 17.2K | 0 | — | ↗ |
| 2005-06-30 | PETERSEN GARY R | Director | J-Other | D | Incentive Stock Options (right to buy) | 5,500 | 21.82 | 120.0K | 0 | — | ↗ |
| 2005-06-30 | ORVIETO BRAD | Director | M-Exempt | D | Incentive Stock Options (right to buy) | 2,200 | 7.72 | 17.0K | 0 | — | ↗ |
| 2005-06-30 | NICODEMUS HARRY O IV | Officer | S-Sale | D | Common Stock | 100,000 | 8.38 | 838.0K | 0 | — | ↗ |
| 2005-06-30 | Moore, Clayton & Co., Inc. | 10% Owner | — | I | Common Stock | 0 | 0.00 | — | 1,111,250 | — | ↗ |
| 2005-06-30 | Moore Anthony R | Director / Officer | — | D | Common Stock | 0 | 0.00 | — | 0 | — | ↗ |
| 2005-06-30 | MCC Europe LTD | 10% Owner | — | D | Common Stock | 0 | 0.00 | — | 1,111,250 | — | ↗ |
| 2005-06-30 | LEHMANN NOLAN | Director / Officer | M-Exempt | A | Common Stock | 202,700 | 7.69 | 1.56M | 400,651 | — | ↗ |
| 2005-06-30 | KNAUSS ROBERT L | Director | J-Other | D | Incentive Stock Options (right to buy) | 2,200 | 14.15 | 31.1K | 0 | — | ↗ |
| 2005-06-30 | Hankinson Henry W | Director | — | D | Common Stock | 0 | 0.00 | — | 0 | — | ↗ |
| 2005-06-30 | FORBES GARY L | Officer | X-InTheMoney | D | Incentive Stock Options (right to buy) | 198,000 | 7.69 | 1.52M | 0 | — | ↗ |
| 2005-06-30 | FLANAGAN GREGORY J | Director | M-Exempt | A | Common Stock | 2,200 | 7.43 | 16.3K | 15,867 | — | ↗ |
| 2005-06-30 | FEINSILVER ALAN D | Director | — | D | Common Stock | 0 | 0.00 | — | 20,000 | — | ↗ |
| 2005-06-30 | Denos Kenneth I | Officer | — | — | — | 0 | 0.00 | — | 0 | — | ↗ |
| 2005-06-30 | DOUGLASS SAM P | Director / Officer | M-Exempt | D | Common Stock | 237,600 | 7.69 | 1.83M | 0 | — | ↗ |
| 2005-06-30 | Clayton Sharon | Director / Officer | — | D | Common Stock | 0 | 0.00 | — | 0 | — | ↗ |
| 2005-06-30 | Boyd Charles M | Director | — | D | Common Stock | 0 | 0.00 | — | 0 | — | ↗ |
| 2005-06-30 | Bergner Richard F | Director | — | D | Common Stock | 0 | 0.00 | — | 0 | — | ↗ |
| 2005-01-17 | WILLIAMS EDWARD E DR | Director | J-Other | A | Common Stock | 3,345 | 7.56 | 25.3K | 47,781 | — | ↗ |
| 2005-01-17 | TUGGLE FRANCIS D DR | Director | J-Other | A | Common Stock | 311 | 7.56 | 2.4K | 4,438 | — | ↗ |
| 2005-01-17 | STORMS JOHN W | Director | J-Other | A | Common Stock | 647 | 7.56 | 4.9K | 9,238 | — | ↗ |
| 2005-01-17 | PETERSEN GARY R | Director | J-Other | A | Common Stock | 162 | 7.56 | 1.2K | 2,318 | — | ↗ |
| 2005-01-17 | ORVIETO BRAD | Director | J-Other | A | Common Stock | 82 | 7.56 | 619.92 | 2,479 | — | ↗ |
| 2005-01-17 | LEHMANN NOLAN | Director / Officer | J-Other | A | Common Stock | 13,875 | 7.56 | 104.9K | 197,951 | — | ↗ |
| 2005-01-17 | KNAUSS ROBERT L | Director | J-Other | A | Common Stock | 35 | 7.56 | 264.60 | 512 | — | ↗ |
| 2005-01-17 | FORBES GARY L | Officer | J-Other | A | Common Stock | 992 | 7.56 | 7.5K | 14,158 | — | ↗ |
| 2005-01-17 | FLANAGAN GREGORY J | Director | J-Other | A | Common Stock | 89 | 7.56 | 672.84 | 1,289 | — | ↗ |
| 2005-01-17 | DOUGLASS SAM P | Director / Officer | J-Other | A | Common Stock | 3,358 | 7.56 | 25.4K | 47,919 | — | ↗ |
Executive team
Top executives
EBIT / Employee
-1.5K
Shares Outstanding
13.97M
Executive compensation
Executive compensation (annual)
| # | Year | Executive | Salary | Bonus | Stock award | Option award | Incentive | Other | Total | % Stock- based |
Filing |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | 2025 | L’Sheryl D. Hudson— Chief Financial Officer | 508.3K | 298.8K | — | — | — | 165.2K | 972.3K | 0.00% | ↗ |
| 2 | 2025 | Kenneth I. Denos— Secretary and CCO | 296.0K | 24.5K | — | — | — | 19.2K | 339.7K | 0.00% | ↗ |
| 3 | 2024 | L’Sheryl D. Hudson— Chief Financial Officer | 481.5K | 472.5K | — | — | — | — | 954.0K | 0.00% | ↗ |
| 4 | 2024 | John A. Hardy— Chief Executive Officer | 561.4K | — | 335.5K | — | — | — | 896.9K | 37.41% | ↗ |
| 5 | 2024 | Kenneth I. Denos— Secretary and CCO | 281.9K | 21.3K | — | — | — | 18.2K | 321.3K | 0.00% | ↗ |
| 6 | 2023 | John A. Hardy— Chief Executive Officer | 534.7K | — | — | — | — | — | 534.7K | 0.00% | ↗ |
| 7 | 2023 | L’Sheryl D. Hudson— Chief Financial Officer | 310.8K | 9.3K | — | — | — | 29.8K | 349.8K | 0.00% | ↗ |
| 8 | 2023 | Kenneth I. Denos— Secretary and CCO | 242.3K | 65.0K | — | — | — | 18.4K | 325.7K | 0.00% | ↗ |
| 9 | 2022 | John A. Hardy— Chief Executive Officer | 508.3K | 298.8K | — | — | — | 165.2K | 972.3K | 0.00% | ↗ |
| 10 | 2022 | L’Sheryl D. Hudson— Chief Financial Officer | 296.0K | 24.5K | — | — | — | 19.2K | 339.7K | 0.00% | ↗ |
| 11 | 2022 | Kenneth I. Denos— Secretary and CCO | 209.6K | — | — | — | — | 13.7K | 242.1K | 0.00% | ↗ |
| 12 | 2021 | John A. Hardy— Chief Executive Officer | 481.5K | — | — | — | — | — | 954.0K | 0.00% | ↗ |
| 13 | 2021 | L’Sheryl D. Hudson— Chief Financial Officer | 281.9K | 450.0K | — | — | — | 18.2K | 321.3K | 0.00% | ↗ |
| 14 | 2021 | Kenneth I. Denos— Secretary and CCO | — | 21.3K | — | — | — | — | 21.3K | 0.00% | ↗ |
| 15 | 2020 | John A. Hardy— Chief Executive Officer | 457.5K | 450.0K | — | — | — | — | 907.5K | 0.00% | ↗ |
| 16 | 2020 | Kenneth I. Denos— Secretary and CCO | 349.7K | 236.8K | — | — | — | 15.8K | 586.5K | 0.00% | ↗ |
| 17 | 2020 | L’Sheryl D. Hudson— Chief Financial Officer | 242.3K | 65.0K | — | — | — | 18.4K | 325.7K | 0.00% | ↗ |
| 18 | 2019 | John A. Hardy— Chief Executive Officer | 350.0K | 100.0K | 240.0K | — | — | 48.0K | 838.0K | 28.64% | ↗ |
| 19 | 2019 | Kenneth I. Denos— Secretary and CCO | 347.3K | — | — | — | — | — | 347.3K | 0.00% | ↗ |
| 20 | 2019 | L’Sheryl D. Hudson— Chief Financial Officer | 209.6K | 53.8K | — | — | — | 13.7K | 279.2K | 0.00% | ↗ |
| 21 | 2018 | John A. Hardy— Chief Executive Officer | 350.0K | 100.0K | 240.0K | — | — | 48.0K | 838.0K | 28.64% | ↗ |
| 22 | 2018 | L’Sheryl D. Hudson— Chief Financial Officer | 209.6K | 53.8K | — | — | — | 13.7K | 242.3K | 0.00% | ↗ |
| 23 | 2018 | Kenneth I. Denos— Secretary and CCO | — | 236.8K | — | — | — | — | 236.8K | 0.00% | ↗ |
| 24 | 2017 | Kenneth I. Denos— Secretary and CCO | 498.5K | — | 688.1K | — | — | — | 1.19M | 57.99% | ↗ |
| 25 | 2017 | John A. Hardy— Chief Executive Officer | 350.0K | — | 297.5K | — | — | — | 647.5K | 45.95% | ↗ |
| 26 | 2017 | L’Sheryl D. Hudson— Chief Financial Officer | 209.6K | 53.8K | — | — | — | 15.8K | 279.2K | 0.00% | ↗ |
| 27 | 2016 | Kenneth I. Denos— Secretary and CCO | 412.6K | — | — | — | — | — | 412.6K | 0.00% | ↗ |
| 28 | 2016 | John A. Hardy— Chief Executive Officer | 200.0K | 150.0K | — | — | — | — | 350.0K | 0.00% | ↗ |
| 29 | 2016 | John A. Hardy—CEO | 200.0K | 150.0K | — | — | — | — | 350.0K | 0.00% | ↗ |
| 30 | 2016 | L’Sheryl D. Hudson—CFO | 204.5K | 38.0K | — | — | — | 14.6K | 257.1K | 0.00% | ↗ |
| 31 | 2016 | L’Sheryl D. Hudson— Chief Financial Officer | 204.5K | 38.0K | — | — | — | 14.6K | 257.1K | 0.00% | ↗ |
| 32 | 2015 | John A. Hardy— Chief Executive Officer | 200.0K | 150.0K | — | — | — | — | 350.0K | 0.00% | ↗ |
| 33 | 2015 | John A. Hardy—CEO | 200.0K | 150.0K | — | — | — | — | 350.0K | 0.00% | ↗ |
| 34 | 2015 | Kenneth I. Denos— Secretary and CCO | 307.1K | — | — | — | — | — | 307.1K | 0.00% | ↗ |
| 35 | 2015 | L’Sheryl D. Hudson—CFO | 199.5K | 37.8K | — | — | — | 11.9K | 249.1K | 0.00% | ↗ |
| 36 | 2015 | L’Sheryl D. Hudson— Chief Financial Officer | 199.5K | 37.8K | — | — | — | 11.9K | 249.1K | 0.00% | ↗ |
| 37 | 2014 | Kenneth I. Denos— Secretary and CCO | 321.1K | — | — | — | — | — | 321.1K | 0.00% | ↗ |
| 38 | 2014 | John A. Hardy—CEO | 200.0K | 22.9K | — | — | — | — | 222.9K | 0.00% | ↗ |
| 39 | 2014 | L’Sheryl D. Hudson—CFO | 175.0K | 7.0K | — | — | — | 5.5K | 187.5K | 0.00% | ↗ |
| 40 | 2009 | Gary L. Forbes—Senior Vice President | 220.0K | 4.8K | — | — | — | 6.7K | 231.5K | 0.00% | ↗ |
| 41 | 2009 | L’Sheryl D. Hudson—Chief Financial Officer | 175.0K | 6.8K | — | — | — | 5.4K | 187.2K | 0.00% | ↗ |
| 42 | 2009 | Gregory J. Flanagan** —President and Chief Executive Officer | 50.0K | — | — | — | — | — | 50.0K | 0.00% | ↗ |
CEO compensation breakdown
Proxy statements
Proxy statements (DEF 14A)
Recent SEC filings
Executive team
| Name | Title | Compensation | Gender |
|---|---|---|---|
| John A. Hardy | Chief Executive Officer & Director | 570.4K | male |
| Kenneth Ian Denos | Chief Compliance Officer, Secretary & Director | 467.7K | male |
| L'Sheryl Deirdre Hudson | Chief Financial Officer, Senior Vice President & Treasurer | 349.8K | female |
| Clarence K. Wong | Senior Vice President of Operations & Engineering | — | male |
| John J. May | Director | — | male |
ESG Rating
ESG Score History ASSET MANAGEMENT
Benchmark vs Sector
Senate Trading Activity
No Senate trading activity found for this company.
House Trading Activity
No House trading activity found for this company.
Market share among peers
Peer comparison — filtered group (TTM)
Your opinion
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Community Opinion for EQS
Short-term intention
Target Price Distribution
These are community opinions and do not constitute buy or sell advice to act on. The results shown are based on aggregated opinions and are not an investment recommendation, nor do they intend to influence any investment decision.
