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EQUUS TOTAL RETURN INC
EQUUS TOTAL RETURN INC. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 16 Institutional holders with a total value of $2,357,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Bulldog Investors, LLP 497,162 999,000 42.38%
2 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 179,418 361,000 15.32%
3 ROYAL BANK OF CANADA 154,784 311,000 13.19%
4 Ancora Advisors LLC 133,300 268,000 11.37%
5 Thomas J. Herzfeld Advisors, Inc. 61,909 124,000 5.26%
6 BOOTHBAY FUND MANAGEMENT, LLC 54,000 109,000 4.62%
7 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 35,584 72,000 3.05%
8 Kazazian Asset Management, LLC 32,573 65,000 2.76%
9 SHUFRO ROSE & CO LLC 17,735 36,000 1.53%
10 BANK OF AMERICA CORP /DE/ 4,542 9,000 0.38%
11 ADVISOR GROUP, INC. 1,216 2,000 0.08%
12 UBS Group AG 504 1,000 0.04%
13 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1 0 0.00%
14 MORGAN STANLEY 180 0 0.00%
15 WELLS FARGO & COMPANY/MN 22 0 0.00%
16 NEXT Financial Group, Inc 70 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.