EQS Equus Total Return, Inc. Common Stock
NYSE · Financial Services · View on SEC EDGAR ↗ close Oct 2, 2026 10-K/10-Q Aug 14, 2026
$0.88
· of 52w range
· above low
· to high
$0.7752w low
$2.3652w high
Market Cap (MRQ)
$12M
P/E
-0.9
EPS
$-1.03
your badges
52W Range
$1–$2
Analyst Rating
·
Price Target
·
P/E
-0.9
ROE
-55.9%
Net Profit Margin
·
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EQS Stock Snapshot Price, market cap, P/E, EPS, ROE, debt/equity, 52-week range
Price
$0.88
Market Cap (MRQ)
$12M
P/E
-0.9
EPS
$-1.03
ROE
-55.9%
52W Range
$1–$2
EQS Stock Price Chart Daily OHLCV with technical indicators — pan, zoom, and customize your view
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Stock splits
| Ex-date | Split | Type |
|---|---|---|
| Nov. 29, 2001 | 11-for-10 | Forward |
10-Year Performance Revenue, net income, margins and EPS trends
EPS$-1.032020-12-31 → 2025-12-31
Valuation & Ratios
Valuation P/E, P/S, P/B, EV/EBITDA ratios — is the stock expensive or cheap?
| Metric | 5Y trend | EQS | 5Y avg | Peer Median | Verdict |
|---|---|---|---|---|---|
| P/E | -0.95Y avg ≈-1.2 | ≈-1.2 | · | · | |
| P/B (MRQ) | 0.75Y avg ≈0.6 | ≈0.6 | · | · | |
| Price / Cash Flow | -5.85Y avg ≈-2.9 | ≈-2.9 | · | · | |
| Price / Tangible Book | 0.75Y avg ≈0.7 | ≈0.7 | · | · |
Peer median is calculated on a standardized basis per metric and may not always match the TTM/MRQ basis shown for this stock.
Profitability Gross, operating and net margins; ROE, ROA, ROIC
| Metric | 5Y trend | EQS | 5Y avg | Peer Median | Verdict |
|---|---|---|---|---|---|
| ROA | -55.2%5Y avg ≈-17.3% | ≈-17.3% | · | · | |
| ROE | -55.9%5Y avg ≈-20.2% | ≈-20.2% | · | · |
Financial Health Debt, liquidity, solvency — balance sheet strength
No data for this ratio group yet
Not enough fundamentals data to compute this ratio group yet.
Growth Revenue, EPS and net income growth: YoY, 3Y CAGR, 5Y CAGR
No data for this ratio group yet
Not enough fundamentals data to compute this ratio group yet.
Capital Efficiency Asset turnover, inventory turnover, receivables turnover
No data for this ratio group yet
Not enough fundamentals data to compute this ratio group yet.
value · ≈ 5Y avg · industry median · verdict relative to median
Dividends Yield, payout ratio, dividend history, 5Y CAGR
Annualized Payout≈$0.43
| Ex-date | Amount | Currency | Yield |
|---|---|---|---|
| Mar 5, 2009 | $0.11 | USD | ≈17.9% |
| Nov 13, 2008 | $0.16 | USD | ≈11.7% |
| Aug 21, 2008 | $0.16 | USD | ≈8.4% |
| May 22, 2008 | $0.16 | USD | ≈7.8% |
| Feb 27, 2008 | $0.16 | USD | ≈7.7% |
| Nov 15, 2007 | $0.13 | USD | ≈8.1% |
| Aug 17, 2007 | $0.13 | USD | ≈7.0% |
| May 17, 2007 | $0.13 | USD | ≈4.2% |
| Feb 22, 2007 | $0.13 | USD | ≈2.9% |
| Nov 3, 2006 | $0.13 | USD | ≈32.8% |
| Feb 9, 2006 | $2.50 | USD | ≈31.1% |
| Dec 6, 2004 | $0.57 | USD | ≈7.3% |
| Nov 25, 2003 | $0.72 | USD | ≈8.9% |
| Nov 16, 2000 | $0.55 | USD | ≈6.3% |
| Nov 10, 1999 | $3.86 | USD | ≈40.4% |
| Nov 12, 1998 | $0.59 | USD | ≈3.6% |
| Nov 26, 1997 | $0.45 | USD | ≈2.2% |
| Dec 12, 1996 | $0.62 | USD | ≈4.4% |
| Nov 13, 1996 | $0.00 | USD | ≈0.03% |
| Nov 13, 1995 | $1.82 | USD | ≈16.1% |
Full Fundamentals All metrics by year — income statement, balance sheet, cash flow
Income Statement
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| SG&A Expense | $191.0K | $189.0K | $133.0K | $130.0K | $140.0K | $168.0K | |
| Operating Expenses | $5M | $5M | $4M | $4M | $3M | $5M | |
| Interest Expense | $683.0K | $138.0K | $25.0K | $4.0K | $3.0K | $27.0K | |
| Interest Income | · | · | $225.0K | $0 | $0 | $291.0K | |
| Income Tax | $24.0K | $36.0K | $13.0K | $15.0K | $25.0K | $22.0K | |
| Net Income | $-14M | $-19M | $13M | $-1M | $3M | $-12M | |
| EPS (Basic) | $-1.03 | $-1.38 | $0.96 | $0.08 | · | · | |
| EPS (Diluted) | $-1.03 | $-1.38 | $0.96 | $-0.08 | $0.19 | $-0.91 | |
| Shares (Basic) | 13,706,000 | 13,586,000 | 13,526,000 | 13,518,000 | · | · | |
| Shares (Diluted) | 13,706,000 | 13,586,000 | 13,526,000 | 13,518,000 | 13,518,000 | 13,518,000 |
Balance Sheet
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Cash & Equivalents | $133.0K | $262.0K | $7M | $19M | $23M | $24M | |
| Short-term Investments | · | · | · | $6M | $2M | · | |
| Other Current Assets | · | $26.0K | $393.0K | $382.0K | $376.0K | · | |
| Total Assets | $21M | $30M | $94M | $42M | $40M | · | |
| Accounts Payable | $414.0K | $332.0K | $172.0K | $107.0K | $46.0K | · | |
| Short-term Debt | · | $0 | · | · | · | · | |
| Total Liabilities | $5M | $426.0K | $45M | $6M | $3M | · | |
| Common Stock | · | $0 | $14.0K | $13.0K | $0 | · | |
| Paid-in Capital | $76M | $75M | $75M | $75M | $75M | · | |
| Retained Earnings | $59M | $45M | $-27M | $-39M | $-38M | · | |
| Treasury Stock | · | $0 | $45M | $6M | · | · | |
| Stockholders' Equity | $17M | $30M | $48M | $35M | $36M | $34M | |
| Shares Outstanding | 13,966,696 | 13,586,173 | 13,586,173 | 13,518,146 | 13,518,000 | · |
Cash Flow
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Stock-based Comp | $270.0K | $0 | $0 | $0 | $0 | $80.0K | |
| Deferred Tax | $0 | $0 | · | · | · | · | |
| Operating Cash Flow | $-2M | $38M | $-51M | $-8M | $21M | $25M | |
| Stock Issued | · | $0 | $101.0K | $0 | $0 | · | |
| Net Stock Activity | · | $0 | $101.0K | · | · | · | |
| Financing Cash Flow | $2M | $-45M | $39M | $3M | $-22M | $-5M | |
| Taxes Paid | · | $36.0K | $13.0K | $53.0K | $25.0K | $12.0K |
Profitability
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| ROA | -55.2% | -30.4% | 19.1% | -2.8% | · | · | |
| ROE | -55.9% | -49.1% | 27.1% | -3.1% | · | · |
Per Share
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Book Value / Share | $1.19 | $2.68 | $3.55 | $2.61 | · | · | |
| Cash Flow / Share | $-0.16 | · | $-3.80 | $-0.57 | · | · | |
| Cash / Share | $0.01 | $0.02 | $0.48 | $1.42 | · | · | |
| EPS (TTM) | $-1.03 | $-1.38 | $0.96 | $-0.08 | $0.19 | $-0.91 |
Valuation (TTM)
| Metric | Trend | 2025 | 2024 | 2023 | 2022 | 2021 | 2020 |
|---|---|---|---|---|---|---|---|
| Net Income TTM | $-14M | $-19M | $13M | $-1M | $3M | $-12M | |
| Market Cap | $20M | $15M | $20M | $19M | · | · | |
| P/E | -1.4 | -0.8 | 1.5 | -17.9 | 12.5 | -2.4 | |
| P/B | 1.2 | 0.4 | 0.4 | 0.5 | · | · | |
| P / Tangible Book | 1.2 | 0.5 | 0.4 | 0.5 | · | · | |
| P / Cash Flow | -9.2 | 0.4 | -0.4 | -2.5 | · | · | |
| Earnings Yield | -73.0% | -125.4% | 66.2% | -5.6% | 8.0% | -42.1% |
Income Statement
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| SG&A Expense | · | $42.0K | $59.0K | $48.0K | $40.0K | $63.0K | $33.0K | $31.0K | $35.0K | $35.0K | $38.0K | $31.0K | $31.0K | $30.0K | $51.0K | |
| Operating Expenses | · | $2M | $967.0K | $1M | $1M | $1M | $1M | $1M | $876.0K | $1M | $994.0K | $925.0K | $780.0K | $930.0K | $920.0K | |
| Interest Expense | · | $412.0K | $51.0K | $29.0K | $63.0K | $34.0K | $32.0K | $12.0K | $1.0K | $1.0K | $0 | $2.0K | $0 | $2.0K | $0 | |
| Interest Income | · | · | · | · | · | · | · | · | $4.0K | $6.0K | · | · | $0 | $0 | · | |
| Other Non-op | · | · | $0 | · | · | $0 | · | · | · | · | · | · | · | · | · | |
| Income Tax | · | $6.0K | $10.0K | $3.0K | $5.0K | $11.0K | $14.0K | $3.0K | $7.0K | $0 | $11.0K | $4.0K | $0 | $0 | $5.0K | |
| Net Income | · | $-8M | $-86.0K | $4M | $-10M | $4M | $-2M | $7M | $6M | $-1M | $-993.0K | $-925.0K | $-280.0K | $1M | $122.0K | |
| EPS (Basic) | · | $-0.59 | $-0.01 | $0.30 | $-0.70 | $0.29 | $-0.17 | · | $0.44 | · | · | · | · | · | · | |
| EPS (Diluted) | · | $-0.59 | $-0.01 | $0.25 | $-0.70 | $0.29 | $-0.17 | $0.52 | $0.44 | $-0.08 | $-0.07 | $-0.07 | $-0.02 | $0.08 | $0.01 | |
| Shares (Basic) | · | 13,681,000 | 13,586,000 | 13,586,000 | 13,586,000 | 13,586,000 | 13,586,000 | · | 13,518,000 | · | · | · | · | · | · | |
| Shares (Diluted) | · | 13,681,000 | 13,586,000 | 15,549,000 | 13,586,000 | 13,586,000 | 13,586,000 | 13,518,000 | 13,518,000 | 13,518,000 | · | 13,518 | 13,518,000 | 13,518,000 | · |
Balance Sheet
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Cash & Equivalents | · | $329.0K | $69.0K | $667.0K | $1M | $2M | $3M | $14M | $16M | $18M | $19M | $20M | $22M | $22M | $23M | |
| Short-term Investments | · | · | · | · | · | · | · | $18M | $13M | $10M | $6M | $4M | $4M | $3M | $2M | |
| Other Current Assets | · | $38.0K | $32.0K | $28.0K | $23.0K | $18.0K | $192.0K | $466.0K | $35.0K | · | $382.0K | $626.0K | $77.0K | · | $376.0K | |
| Total Assets | · | $31M | $37M | $36M | $96M | $104M | $99M | $66M | $53M | $44M | $42M | $41M | $42M | $41M | $40M | |
| Accounts Payable | · | $258.0K | $557.0K | $271.0K | $250.0K | $106.0K | $166.0K | $113.0K | $53.0K | $358.0K | $107.0K | $76.0K | $65.0K | $198.0K | $46.0K | |
| Short-term Debt | · | · | $2M | · | · | · | · | · | · | · | · | · | · | · | · | |
| Total Liabilities | · | $5M | $3M | $2M | $55M | $54M | $53M | $18M | $13M | $10M | $6M | $4M | $4M | $4M | $3M | |
| Total Debt | · | · | $2M | · | · | · | · | · | · | · | · | · | · | · | · | |
| Common Stock | · | $0 | · | · | $14.0K | · | · | · | · | $13.0K | $13.0K | · | $0 | $0 | $0 | |
| Paid-in Capital | · | $76M | $76M | $76M | $75M | $75M | $75M | $75M | $75M | $75M | $75M | $75M | $75M | $75M | $75M | |
| Retained Earnings | · | $-50M | $-41M | $-41M | $-35M | $-25M | $-29M | $-28M | $-35M | $-41M | $-39M | $-38M | $-38M | $-37M | $-38M | |
| Treasury Stock | · | · | · | · | $55M | $54M | · | · | · | · | $6M | · | · | · | · | |
| Stockholders' Equity | · | $27M | $34M | $34M | $40M | $50M | $46M | $47M | $40M | $34M | $35M | $36M | $37M | $37M | $36M | |
| Shares Outstanding | · | 13,966,696 | 13,586,173 | 13,586,173 | 13,586,173 | 13,586,173 | 13,586,173 | 13,518,146 | 13,518,146 | 13,518,000 | 13,518,146 | 13,518,000 | 13,518,000 | 13,518,000 | 13,518,000 |
Cash Flow
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock-based Comp | · | $-512.0K | $433.0K | · | $429.0K | $477.0K | · | $692.0K | $393.0K | · | $-1M | $455.0K | · | · | · | |
| Operating Cash Flow | · | $260.0K | $-598.0K | $-2M | $-2M | $-2M | $-11M | $-8M | $-4M | $-5M | $-3M | $-1M | $-2M | $-2M | $-2M | |
| Financing Cash Flow | · | $0 | $0 | $2M | $1M | $974.0K | $8M | $5M | $3M | $4M | $2M | $-1.0K | $1M | $500.0K | $2M | |
| Taxes Paid | · | $16.0K | $0 | $3.0K | $5.0K | $11.0K | $14.0K | $3.0K | $7.0K | $0 | $4.0K | $11.0K | $0 | $38.0K | $5.0K |
Profitability
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Net Margin | · | · | · | · | -2989.8% | 1222.6% | · | 22115.6% | · | · | · | · | · | · | · | |
| ROA | · | -12.8% | -0.12% | 5.8% | -12.0% | 5.0% | -3.3% | 13.3% | 12.6% | -2.6% | · | -4.6% | -1.4% | 5.2% | · | |
| ROE | · | -24.3% | -0.20% | 9.8% | -22.1% | 8.7% | -6.0% | 17.0% | 15.4% | -3.2% | · | -5.1% | -1.5% | 5.7% | · |
Liquidity & Solvency
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Debt / Equity | · | · | 0.0 | · | · | · | · | · | · | · | · | · | · | · | · |
Efficiency
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Asset Turnover | · | · | · | · | 0.0 | 0.0 | · | 0.0 | · | · | · | · | · | · | · |
Per Share
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Book Value / Share | · | $1.90 | $2.51 | $2.52 | $2.96 | $3.66 | $3.38 | $3.49 | $2.96 | $2.52 | · | $2.68 | $2.75 | $2.77 | · | |
| Revenue / Share | · | · | · | · | $0.02 | · | · | $0.00 | · | · | · | · | · | · | · | |
| Cash Flow / Share | · | · | · | $-0.10 | · | · | $-0.84 | · | · | $-0.41 | · | · | · | $-0.12 | · | |
| Cash / Share | · | $0.02 | $0.01 | $0.05 | $0.08 | $0.14 | $0.22 | $1.01 | $1.21 | $1.31 | · | $1.49 | $1.59 | $1.65 | · | |
| EPS (TTM) | $-1.05 | $-1.15 | $-1.26 | $-0.96 | $-0.50 | $0.72 | $0.87 | $0.81 | $0.22 | $-0.24 | · | $0.00 | $0.18 | $0.25 | · |
Valuation (TTM)
| Metric | Trend | Q4 2026 | Q3 2025 | Q2 2025 | Q1 2025 | Q3 2024 | Q2 2024 | Q1 2024 | Q3 2023 | Q2 2023 | Q1 2023 | Q4 2022 | Q3 2022 | Q2 2022 | Q1 2022 | Q4 2021 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Net Income TTM | $-14M | $-15M | $-16M | $-12M | $-7M | $10M | $12M | $11M | $3M | $-3M | · | $-13.0K | $2M | $3M | · | |
| Market Cap | · | $31M | $18M | $14M | $18M | $18M | $20M | $20M | $21M | $21M | · | $22M | $35M | $35M | · | |
| Enterprise Value | · | · | $20M | · | · | · | · | · | · | · | · | · | · | · | · | |
| P/E | -1.2 | -2.0 | -1.1 | -1.1 | -2.7 | 1.8 | 1.7 | 1.8 | 6.9 | -6.5 | · | · | 14.5 | 10.3 | · | |
| P/B | · | 1.2 | 0.5 | 0.4 | 0.5 | 0.4 | 0.4 | 0.4 | 0.5 | 0.6 | · | 0.6 | 0.9 | 0.9 | · | |
| P / Tangible Book | · | 1.2 | 0.5 | 0.4 | 0.5 | 0.4 | 0.4 | 0.4 | 0.5 | 0.6 | · | 0.6 | 0.9 | 0.9 | · | |
| P / Cash Flow | · | · | · | -8.6 | · | · | -1.7 | · | · | -3.8 | · | · | · | -20.9 | · | |
| Earnings Yield | -84.7% | -51.1% | -92.7% | -95.0% | -36.8% | 54.5% | 59.6% | 54.7% | 14.5% | -15.4% | · | 0.00% | 6.9% | 9.7% | · |
Most recent period on the left · null values shown as ·
Financial Statements Income statement, balance sheet, cash flow — annual, last 5 years
| Metric | 2025-12-31 | 2024-12-31 | 2023-12-31 | 2022-12-31 | 2021-12-31 |
|---|---|---|---|---|---|
| Net Income | $-14M | $-19M | $13M | $-1M | $3M |
| Diluted EPS | $-1.03 | $-1.38 | $0.96 | $-0.08 | $0.19 |
No data for this statement
Not enough fundamentals data to build this statement yet.
No data for this statement
Not enough fundamentals data to build this statement yet.
Institutional owners (13F) 7 filers · $152K total · As of June 30, 2026
Institutions that report holding this stock in their quarterly SEC Form 13F. Long positions only; a single filer may appear twice for separate option legs. Large offsetting put/call legs typically reflect market-making or hedged inventory, not directional conviction.
Holders
7
Value held
$152K
New positions
1
Exited positions
2
Institutional activity — Q2 2026 vs prior quarter
| New positions | Exited positions | Increased | Decreased | Net shares change |
|---|---|---|---|---|
| 1 (+1 vs prior Q) | 2 (0 vs prior Q) | 1 (0 vs prior Q) | 1 (+1 vs prior Q) | -3K |
Compared to Q1 2026. SEC Form 13F filings are due within 45 days of quarter-end plus a short buffer for late filers — quarters still inside that window are skipped in favor of the most recent fully-reported pair.
| Institution | Value | Shares | % of tracked 13F | Type |
|---|---|---|---|---|
| MORGAN STANLEY | $44,226 | 35,666 | 29.08% | Shares |
| SHUFRO ROSE & CO LLC | $38,796 | 31,287 | 25.51% | Shares |
| CITADEL ADVISORS LLC | $25,209 | 20,330 | 16.58% | Shares |
| SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC | $24,800 | 20,000 | 16.31% | Shares |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC | $11,032 | 8,897 | 7.26% | Shares |
| OSAIC HOLDINGS, INC. | $7,994 | 6,447 | 5.26% | Shares |
| WELLS FARGO & COMPANY/MN | $1 | 1 | 0.00% | Shares |
Activists & 5%+ owners 71 positions
Investors who filed SEC Schedule 13D — beneficial ownership above 5% with an intent to influence the issuer (activist stakes, board campaigns, M&A). Each row shows the most recent known state of that filer's position.
| Filer | Filed | Stake | Status | Purpose | Filing |
|---|---|---|---|---|---|
| Howard Todd Horberg | June 23, 2026 | 5.61% | Initial filing | Passive investment | SEC |
| DAVID E. LAZAR | July 11, 2022 | · | Initial filing | · | SEC |
| Bertrand des Pallieres ×2 filings | Oct. 18, 2021 | · | Initial filing | · | SEC |
| Michael Tokarz | Oct. 4, 2021 | · | Initial filing | Passive investment | SEC |
| CUSTODIAN VENTURES LLC, DAVID ELLIOT LAZAR | July 20, 2021 | · | Initial filing | Passive investment | SEC |
| Benton Capital Inc., John A. Hardy | July 20, 2020 | · | Initial filing | Passive investment | SEC |
| MVC Capital, Inc., The Tokarz Group Advisers, LLC, Michael T. Tokarz ×6 filings | July 20, 2020 | · | Initial filing | · | SEC |
| June 5, 2017 | · | Initial filing | · | SEC | |
| April 25, 2017 | · | Initial filing | · | SEC | |
| Jan. 6, 2017 | · | Initial filing | · | SEC | |
| Bulldog Investors, LLC, Phillip Goldstein, Andrew Dakos, Steven Samuels | July 23, 2015 | · | Initial filing | · | SEC |
| Mobiquity Investments Limited, Versatile Systems Inc. ×6 filings | June 17, 2014 | · | Initial filing | · | SEC |
| Encore Holdings Ltd., Christian Kruppa | June 16, 2014 | · | Initial filing | · | SEC |
| Bulldog Investors, Brooklyn Capital Management, Phillip Goldstein, Andrew Dakos, And Steven Samuels | June 10, 2013 | · | Initial filing | · | SEC |
| Kekovia Enterprises Company Limited, Gabriel Lahyani ×2 filings | Oct. 3, 2012 | · | Initial filing | · | SEC |
| Bulldog Investors, Brooklyn Capital Management, Phillip Goldstein and Andrew Dakos ×2 filings | Oct. 26, 2011 | · | Initial filing | · | SEC |
| Khan Investments Ltd., Christian Kruppa | May 11, 2011 | · | Initial filing | · | SEC |
| Sam P. Douglass, Douglass Trust IV — FBO S. Preston Douglass, Jr., Douglass Trust IV — FBO Brooke Douglass, Tiel Trust FBO Sam P. Douglass, Paula T. Douglass, Tiel Trust FBO Paula T. Douglass ×4 filings | Jan. 12, 2011 | · | Initial filing | · | SEC |
| June 22, 2010 | · | Initial filing | Board campaign | SEC | |
| March 29, 2010 | · | Initial filing | Board campaign | SEC | |
| March 1, 2010 | · | Initial filing | Passive investment | SEC | |
| MCC Europe Limited, Moore, Clayton & Co., Inc., Anthony R. Moore, Sharon Clayton, Kenneth I. Denos ×7 filings | Aug. 14, 2009 | · | Initial filing | Passive investment | SEC |
| Undisclosed reporting person, Undisclosed reporting person | March 8, 2006 | · | Initial filing | Passive investment | SEC |
| Jan. 10, 2006 | · | Initial filing | Passive investment | SEC | |
| July 8, 2005 | · | Initial filing | Passive investment | SEC | |
| April 18, 2005 | · | Initial filing | Passive investment | SEC | |
| April 7, 2005 | · | Initial filing | Passive investment | SEC | |
| March 9, 2005 | · | Initial filing | Passive investment | SEC | |
| Feb. 17, 2005 | · | Initial filing | Passive investment | SEC | |
| Feb. 9, 2005 | · | Initial filing | Passive investment | SEC | |
| Jan. 7, 2005 | · | Initial filing | Passive investment | SEC | |
| Jan. 7, 2005 | · | Initial filing | Passive investment | SEC | |
| Dec. 6, 2004 | · | Initial filing | Passive investment | SEC | |
| Nov. 9, 2004 | · | Initial filing | Passive investment | SEC | |
| Nov. 9, 2004 | · | Initial filing | Passive investment | SEC | |
| Oct. 8, 2004 | · | Initial filing | Passive investment | SEC | |
| Sept. 9, 2004 | · | Initial filing | Passive investment | SEC | |
| Aug. 9, 2004 | · | Initial filing | Passive investment | SEC | |
| July 12, 2004 | · | Initial filing | Passive investment | SEC | |
| June 10, 2004 | · | Initial filing | Passive investment | SEC | |
| April 9, 2004 | · | Initial filing | Passive investment | SEC | |
| March 9, 2004 | · | Initial filing | Passive investment | SEC | |
| Feb. 10, 2004 | · | Initial filing | Passive investment | SEC | |
| Jan. 9, 2004 | · | Initial filing | Passive investment | SEC | |
| Dec. 10, 2003 | · | Initial filing | Passive investment | SEC | |
| Nov. 10, 2003 | · | Initial filing | Passive investment | SEC | |
| Oct. 9, 2003 | · | Initial filing | Passive investment | SEC | |
| Sept. 9, 2003 | · | Initial filing | Passive investment | SEC | |
| Aug. 8, 2003 | · | Initial filing | Passive investment | SEC | |
| July 11, 2003 | · | Initial filing | Passive investment | SEC | |
| June 9, 2003 | · | Initial filing | Passive investment | SEC | |
| May 9, 2003 | · | Initial filing | Passive investment | SEC | |
| April 9, 2003 | · | Initial filing | Passive investment | SEC | |
| March 7, 2003 | · | Initial filing | Passive investment | SEC | |
| Feb. 7, 2003 | · | Initial filing | Passive investment | SEC | |
| Jan. 9, 2003 | · | Initial filing | Passive investment | SEC | |
| Dec. 10, 2002 | · | Initial filing | Passive investment | SEC | |
| Dec. 10, 2002 | · | Initial filing | Passive investment | SEC | |
| Nov. 8, 2002 | · | Initial filing | Passive investment | SEC | |
| Oct. 11, 2002 | · | Initial filing | Passive investment | SEC | |
| Sept. 11, 2002 | · | Initial filing | Passive investment | SEC | |
| Aug. 9, 2002 | · | Initial filing | Passive investment | SEC | |
| July 10, 2002 | · | Initial filing | Passive investment | SEC | |
| June 7, 2002 | · | Initial filing | Passive investment | SEC | |
| May 7, 2002 | · | Initial filing | Passive investment | SEC | |
| April 8, 2002 | · | Initial filing | Passive investment | SEC | |
| March 11, 2002 | · | Initial filing | Passive investment | SEC | |
| Feb. 7, 2002 | · | Initial filing | Passive investment | SEC | |
| Jan. 8, 2002 | · | Initial filing | Passive investment | SEC | |
| Dec. 7, 2001 | · | Initial filing | Passive investment | SEC | |
| Nov. 7, 2001 | · | Initial filing | Passive investment | SEC |
Purpose is an automated classification of the filer's own stated purpose (SEC Item 4) — not investment advice. "—" means no clear purpose was stated or the text could not be classified.
Company insiders 31 insiders · 9 officers · 14 directors
| Insider | Role | Last activity | Shares owned | Buys 12m | Sells 12m | Net 12m |
|---|---|---|---|---|---|---|
| John A. Hardy | CEO | Sept. 16, 2025 A | 3,861,706 | 0 | 0 | $0 |
| DOUGLASS SAM P | CEO | April 8, 2008 P | 52,234 | 0 | 0 | $0 |
| Harry O Nicodemus IV | Vice President, CFO | June 30, 2005 M | 0 | 0 | 0 | $0 |
| Nolan Lehmann | President | June 30, 2005 M | 197,951 | 0 | 0 | $0 |
| Kenneth I Denos | Secretary | Sept. 16, 2025 A | 332,595 | 0 | 0 | $0 |
| Alessandro Benedetti | Executive Chairman | Sept. 2, 2011 P | 1,362,962 | 0 | 0 | $0 |
| Paula Terry Douglass | Vice President | April 8, 2008 P | 50,268 | 0 | 0 | $0 |
| James Philip Walters | Vice President, Controller | June 30, 2005 M | 0 | 0 | 0 | $0 |
| Gary L Forbes | Vice President | June 30, 2005 X | 14,158 | 0 | 0 | $0 |
| KNAUSS ROBERT L | Director | July 14, 2023 P | 93,670 | 0 | 0 | $0 |
| Mobiquity Investments Ltd | Director | June 12, 2014 D | 10,000 | 0 | 0 | $0 |
| Gregory J Flanagan | Director | June 7, 2010 S | 4,514 | 0 | 0 | $0 |
| Francis D Tuggle DR | Director | May 18, 2006 P | 6,000 | 0 | 0 | $0 |
| Charles M Boyd | Director | March 22, 2006 J | 1,067 | 0 | 0 | $0 |
| James M Walsh | Director | Nov. 16, 2005 P | 3,000 | 0 | 0 | $0 |
| Edward E Williams DR | Director | June 30, 2005 J | 47,781 | 0 | 0 | $0 |
| John W Storms | Director | June 30, 2005 J | 9,237 | 0 | 0 | $0 |
| Gary R Petersen | Director | June 30, 2005 J | 2,318 | 0 | 0 | $0 |
| Tokarz Group Advisers LLC | 10% owner | July 16, 2020 S | 0 | 0 | 0 | $0 |
| Michael T Tokarz | 10% owner | July 16, 2020 S | 0 | 0 | 0 | $0 |
| MVC CAPITAL, INC. | 10% owner | July 16, 2020 S | 0 | 0 | 0 | $0 |
| Pallieres Bertrand Des | · | Sept. 29, 2021 S | 345,433 | 0 | 0 | $0 |
| Fraser Atkinson | · | April 29, 2021 P | 45,591 | 0 | 0 | $0 |
| Richard F Bergner | · | March 21, 2017 P | 19,500 | 0 | 0 | $0 |
| Henry W Hankinson | · | March 17, 2017 P | 19,500 | 0 | 0 | $0 |
| Moore, Clayton & Co., Inc. | · | Oct. 5, 2009 S | 151,569 | 0 | 0 | $0 |
| Sharon Clayton | · | Aug. 3, 2009 S | 357,458 | 0 | 0 | $0 |
| Anthony R Moore | · | Aug. 3, 2009 S | 357,458 | 0 | 0 | $0 |
| Alan D Feinsilver | · | May 23, 2007 S | 3,200 | 0 | 0 | $0 |
| MCC Europe LTD | · | Feb. 23, 2006 P | 1,463,013 | 0 | 0 | $0 |
| Brad Orvieto | · | June 30, 2005 J | 2,479 | 0 | 0 | $0 |
Insiders from SEC Form 3/4/5 filings; net = open-market P/S only
ETF ownership Held by 6 ETFs
Weight reflects direct equity holdings (N-PORT) only; leveraged or derivative-based funds may hold additional swap exposure not shown.
| Fund | Weight | Units | As of | Source |
|---|---|---|---|---|
| VSS · VANGUARD INTERNATIONAL EQUITY INDEX… | 0.01% | 19,919 SH | Aug. 19, 2026 | Daily |
| VXUS · VANGUARD STAR FUNDS | 0.00% | 72,131 SH | Aug. 19, 2026 | Daily |
| VGK · VANGUARD INTERNATIONAL EQUITY INDEX… | 0.00% | 12,432 SH | Aug. 19, 2026 | Daily |
| VT · VANGUARD INTERNATIONAL EQUITY INDEX… | 0.00% | 2,364 SH | Aug. 19, 2026 | Daily |
| VEA · VANGUARD TAX-MANAGED FUNDS | 0.00% | 45,136 SH | Aug. 19, 2026 | Daily |
| VSGX · VANGUARD WORLD FUND | 0.00% | 1,259 SH | Aug. 19, 2026 | Daily |
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Source: SEC 10-Q filed Aug 14, 2026