EQS - Equus Total Return, Inc. - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	23	76	0	1	3	5	2	-1	2
P	%wins				70	67	71	66	51	53	63
S	%ret	1	17	49	0	1	0	4	7	0	2
S	%wins				41	29	33	39	43	49	39

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
7/18/23 13:40	7/14/23	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	1	1.48	1	1	94	D
10/1/21 15:48	9/29/21	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	T		S	-4,426	2.40	-1,844	-84	345	I
5/3/21 16:57	4/23/21	EQS	Fund	CEF	Closed-End Funds	Atkinson Fraser	TX	D		P.m	46	1.89	24	113	46	D
7/17/20 18:32	7/16/20	EQS	Fund	CEF	Closed-End Funds	Hardy John A.	TX	DOT	CEO	P	3,777	1.17	3,228	646	3,728	I
7/17/20 18:21	7/16/20	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		S	-3,777	1.17	-3,228	-100	0	D
7/17/20 18:15	7/16/20	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		S	-3,777	1.17	-3,228	-100	0	I
7/17/20 18:10	7/16/20	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		S	-3,777	1.17	-3,228	-100	0	I
8/13/19 16:48	8/12/19	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		S	-985	1.62	-608	-16	3,228	D
8/13/19 16:44	8/12/19	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		S	-985	1.62	-608	-16	3,228	I
8/13/19 16:42	8/12/19	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		S	-985	1.62	-608	-16	3,228	I
7/30/19 19:05	7/29/19	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		S	-1,034	1.70	-608	-14	3,836	I
7/30/19 19:02	7/29/19	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		S	-1,034	1.70	-608	-14	3,836	I
7/30/19 18:57	7/29/19	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		S	-1,034	1.70	-608	-14	3,836	D
7/26/19 21:12	7/24/19	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		S	-2,068	1.70	-1,217	-21	4,445	I
7/26/19 21:09	7/24/19	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		S	-2,068	1.70	-1,217	-21	4,445	I
7/26/19 21:06	7/24/19	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		S	-2,068	1.70	-1,217	-21	4,445	D
3/27/17 14:28	3/21/17	EQS	Fund	CEF	Closed-End Funds	Bergner Richard F	TX	D		P.a	47	2.40	20	New	20	D	17	49	31	14	10	2	0	-7	3	10	15
3/23/17 10:46	3/17/17	EQS	Fund	CEF	Closed-End Funds	Bergner Richard F	TX	D		P	47	2.40	20	New	20	D	25	57	40	19	17	11	8	1	-5	0	2
3/20/17 15:28	3/17/17	EQS	Fund	CEF	Closed-End Funds	Atkinson Fraser	TX	D		P	47	2.40	20	999%	21	D	22	60	39	22	17	10	7	7	1	-5	3
3/20/17 10:58	3/17/17	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P	36	2.40	15	1	2,200	D	22	60	39	22	17	10	7	7	1	-5	3
3/17/17 19:04	3/17/17	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	50	2.40	21	29	93	D	17	58	32	16	11	5	2	2	1	-4	3
3/17/17 17:59	3/17/17	EQS	Fund	CEF	Closed-End Funds	Hankinson Henry W	TX	D		P	47	2.40	20	New	20	D	17	58	32	16	11	5	2	2	1	-4	3
3/17/17 16:37	3/17/17	EQS	Fund	CEF	Closed-End Funds	Hardy John A.	TX	DO	CEO	P	1,200	2.40	500	New	500	D	17	58	32	16	11	5	2	2	1	-4	3
3/17/17 16:35	3/17/17	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	TX	DO	Secretar	P	600	2.40	250	999%	266	D	17	58	32	16	11	5	2	2	1	-4	3
3/3/16 18:35	2/25/16	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P.m	21	1.50	14	1	2,185	D	-15	-23	-21	-4	-1	-6	1	0	3	1	8	19	20	46
1/22/16 12:26	1/20/16	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P.m	52	1.54	34	2	2,170	D	-16	-20	-13	-5	-5	-8	-9	-8	4	4	-6	3	-1	29
12/22/15 13:11	11/20/15	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P.a	63	1.50	42	2	2,137	D	-11	-19	-16	-9	3	-2	-5	3	1	7	4	-6	4	24
12/22/15 13:06	11/18/15	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P.am	43	1.49	29	1	2,095	D	-11	-19	-16	-9	3	-2	-5	3	1	7	4	-6	4	24
11/30/15 16:33	11/25/15	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P	63	1.50	42	2	2,620	D	-19	-27	-19	-12	-8	-5	5	4	2	3	8	-4	12	23
11/25/15 16:42	11/24/15	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P.m	31	1.55	20	39	72	D	-21	-29	-20	-14	-6	-11	2	3	3	5	9	0	18	27
11/20/15 20:05	11/18/15	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P.m	43	1.49	29	1	2,577	D	-21	-30	-23	-18	-11	-13	1	1	-1	3	5	-1	17	27
11/20/15 16:09	11/19/15	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P.m	17	1.51	11	27	52	D	-21	-30	-23	-18	-11	-13	1	1	-1	3	5	-1	17	27
6/16/14 17:52	6/12/14	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		P	2,377	2.45	970	28	4,445	I	6	11	13	27	11	1	1	1	0	9	7	3	-11	-15
6/16/14 17:49	6/12/14	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		P	2,377	2.45	970	28	4,445	I	6	11	13	27	11	1	1	1	0	9	7	3	-11	-15
6/16/14 17:47	6/12/14	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		P	2,377	2.45	970	28	4,445	D	6	11	13	27	11	1	1	1	0	9	7	3	-11	-15
6/5/14 17:27	6/3/14	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		P	2,040	2.40	850	32	3,475	I	4	10	14	15	11	10	0	-3	-3	-2	8	3	-6	-15
6/5/14 17:23	6/3/14	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		P	2,040	2.40	850	32	3,475	D	4	10	14	15	11	10	0	-3	-3	-2	8	3	-6	-15
6/5/14 17:19	6/3/14	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		P	2,040	2.40	850	32	3,475	I	4	10	14	15	11	10	0	-3	-3	-2	8	3	-6	-15
5/23/14 18:12	5/21/14	EQS	Fund	CEF	Closed-End Funds	Mvc Capital, Inc.	NY	T		P	1,230	2.40	513	24	2,625	D	15	11	19	14	9	10	8	5	-1	4	8	6	-5	-14
5/23/14 18:10	5/21/14	EQS	Fund	CEF	Closed-End Funds	Tokarz Michael T	NY	T		P	1,230	2.40	513	24	2,625	I	15	11	19	14	9	10	8	5	-1	4	8	6	-5	-14
5/23/14 18:08	5/21/14	EQS	Fund	CEF	Closed-End Funds	Tokarz Group Advisers LLC	NY	T		P	1,230	2.40	513	24	2,625	I	15	11	19	14	9	10	8	5	-1	4	8	6	-5	-14
4/8/14 11:30	4/4/14	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P.m	19	1.88	10	33	41	D	-7	-7	5	-2	1	8	9	1	-2	3	4	23	6	-4
8/2/13 17:31	7/31/13	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	DT		P	2,414	2.40	1,006	21	5,906	M	-19	-22	-16	-10	-6	-4	-5	-5	3	4	5	2	7	30
7/26/13 17:07	7/22/13	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	D		P.m	6	1.89	3	0	2,020	D	-19	-12	-14	-5	-3	2	4	5	-2	-7	-4	-9	-6	22
12/21/12 12:12	12/20/12	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	D		P	2,611	2.65	987	96	2,017	D	4	4	11	14	5	-2	2	3	-5	-7	-7	-14	-24	-28
12/8/11 20:03	12/6/11	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	DT		P	15	2.05	7	1	970	D	-33	-1	-14	-3	4	-4	1	0	0	-2	-2	-9	0	11
9/20/11 19:03	9/16/11	EQS	Fund	CEF	Closed-End Funds	Atkinson Fraser	TX	D		P	1	2.13	0	0	965	D	-34	-7	-16	-8	2	-3	-2	-1	-2	-10	2	9	-5	-2
9/15/11 19:59	9/12/11	EQS	Fund	CEF	Closed-End Funds	Atkinson Fraser	TX	D		P.m	3	2.12	2	0	965	D	-33	-6	-11	-6	-8	-1	5	3	7	0	9	1	-2	8
9/7/11 14:21	9/2/11	EQS	Fund	CEF	Closed-End Funds	Benedetti Alessandro	TX	DO	Exec CB	P	1,100	2.75	400	42	1,363	I	-34	-1	-20	-18	-13	-5	-5	-2	6	2	-13	3	-4	10
8/19/11 11:52	8/17/11	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	46	2.32	20	187	31	D	-33	-1	-20	-12	-7	-3	0	-2	-1	0	-2	0	-8	5
12/23/10 16:04	12/20/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	DT		P	14	2.38	6	1	963	D	-42	-26	-12	3	-2	12	5	1	0	-2	-2	5	-5	-8
12/20/10 20:10	12/16/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	DT		P	17	2.25	8	1	957	D	-41	-33	-12	0	-3	14	7	4	1	6	3	10	0	0
12/16/10 20:09	12/15/10	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	D		P	0	2.25	0	0	1,010	D	-45	-32	-16	-4	-7	10	6	3	3	4	8	14	4	-7
12/16/10 20:09	12/14/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	DT		P.m	5	2.25	2	0	949	D	-45	-32	-16	-4	-7	10	6	3	3	4	8	14	4	-7
12/13/10 18:39	12/9/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	DT		P.m	202	2.19	92	11	947	D	-47	-31	-22	-8	-6	4	6	2	0	4	7	15	6	-5
12/8/10 18:16	12/6/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	D		P	24	2.10	11	1	855	D	-48	-32	-23	-3	-5	-3	5	1	0	3	13	22	15	0
12/3/10 18:15	12/1/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	D		P.m	10	2.10	5	1	844	D	-51	-35	-21	0	-9	-7	4	3	1	4	18	25	24	8
11/29/10 18:32	11/24/10	EQS	Fund	CEF	Closed-End Funds	Mobiquity Investments Ltd	WA	D		P	35	2.03	17	2	839	D	-52	-37	-32	-8	-11	-16	-8	0	1	2	20	34	27	4
11/24/10 20:07	11/15/10	EQS	Fund	CEF	Closed-End Funds	Des Pallieres Bertrand	TX	D		P.m	127	2.11	60	7	882	D	-49	-35	-26	-6	-10	-16	-9	-5	0	1	22	38	28	1
7/16/10 11:44	4/15/10	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	D		P.a	47	3.01	16	New	16	D	-64	-18	-30	-23	-16	-13	-4	-3	0	-3	-3	-3	3	4
6/7/10 16:19	6/4/10	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	D		S.m	-6	2.70	-2	-35	5	D	-58	0	-18	-11	-17	-13	-3	-5	0	4	-9	-22	-22	-4
6/4/10 12:46	4/12/10	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	D		S.m	-20	2.85	-7	-51	7	D	-58	5	-17	-4	-11	-11	-2	-7	-3	4	-9	-22	-25	-9
4/15/10 16:02	4/15/10	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	D		P	90	3.01	30	New	30	D	-51	31	-9	-11	2	4	5	0	0	4	3	-23	-24	-14
4/14/10 13:06	4/13/10	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	D		S	-8	3.01	-3	-15	14	D	-51	32	-6	-9	3	5	8	1	-2	1	1	-24	-25	-17
4/12/10 11:40	4/8/10	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	D		S.m	-15	3.00	-5	-23	17	D	-52	44	-4	-10	-6	7	8	6	0	0	3	-19	-25	-11
10/7/09 16:56	10/5/09	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	D		S	-671	3.26	-206	-58	152	I	-52	-42	40	12	-4	-5	-4	1	1	7	10	7	-3	-28
10/7/09 16:45	10/5/09	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	D		S	-671	3.26	-206	-58	152	I	-52	-42	40	12	-4	-5	-4	1	1	7	10	7	-3	-28
9/3/09 16:53	9/1/09	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	DO	CB,P,C.E	P	1	3.25	0	2	22	D	-54	-53	-1	20	0	-5	-1	-3	-1	4	-4	2	-6	-34
8/28/09 14:54	8/28/09	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	10	3.29	3	39	11	D	-50	-52	-23	26	13	2	-2	1	1	-2	0	-1	-2	-32
8/28/09 14:20	8/27/09	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	DO	CB,P,C.E	P.a	5	3.25	2	8	21	D	-50	-52	-23	26	13	2	-2	1	1	-2	0	-1	-2	-32
8/28/09 11:49	8/27/09	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	D		P	5	3.25	2	8	21	D	-50	-52	-23	26	13	2	-2	1	1	-2	0	-1	-2	-32
8/4/09 15:52	8/3/09	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	UT	T		S	-1,781	3.35	-532	-60	357	I	-54	-49	-21	38	3	20	4	7	0	-1	-3	6	1	-30
8/4/09 15:45	8/3/09	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S	-1,781	3.35	-532	-60	357	I	-54	-49	-21	38	3	20	4	7	0	-1	-3	6	1	-30
8/4/09 15:34	8/3/09	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	T		S	-1,781	3.35	-532	-60	357	I	-54	-49	-21	38	3	20	4	7	0	-1	-3	6	1	-30
8/4/09 14:23	8/3/09	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DT		S	-1,781	3.35	-532	-60	357	I	-54	-49	-21	38	3	20	4	7	0	-1	-3	6	1	-30
5/4/09 17:07	4/24/09	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	T		S.a	-81	3.69	-22	-1	2,686	I	-69	-62	-52	-45	-25	2	7	1	2	2	10	33	48	32
5/4/09 16:54	4/24/09	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	T		S.a	-81	3.69	-22	-1	1,793	I	-69	-62	-52	-45	-25	2	7	1	2	2	10	33	48	32
5/4/09 16:46	4/24/09	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S.a	-81	3.69	-22	-1	1,793	I	-69	-62	-52	-45	-25	2	7	1	2	2	10	33	48	32
5/4/09 16:32	4/24/09	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DOT	CEO	S.a	-81	3.69	-22	-1	1,793	I	-69	-62	-52	-45	-25	2	7	1	2	2	10	33	48	32
5/1/09 15:02	4/24/09	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	T		S.a	-81	3.69	-22	-1	1,791	I	-68	-61	-51	-43	-26	5	12	0	-2	1	8	35	46	30
5/1/09 14:47	4/24/09	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	T		S.a	-81	3.69	-22	-1	1,791	I	-68	-61	-51	-43	-26	5	12	0	-2	1	8	35	46	30
5/1/09 14:30	4/24/09	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S.a	-81	3.69	-22	-1	1,791	I	-68	-61	-51	-43	-26	5	12	0	-2	1	8	35	46	30
4/29/09 11:42	4/24/09	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	T		S	-81	3.69	-22	-1	1,659	I	-69	-63	-54	-44	-25	4	4	4	3	6	12	33	61	35
4/29/09 11:21	4/24/09	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	T		S	-81	3.69	-22	-1	1,703	I	-69	-63	-54	-44	-25	4	4	4	3	6	12	33	61	35
4/28/09 12:40	4/24/09	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S	-81	3.69	-22	-1	1,747	I	-68	-62	-52	-41	-21	-6	6	9	-3	1	9	36	59	33
4/28/09 12:22	4/24/09	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DOT	CEO	S	-81	3.69	-22	-1	1,791	I	-68	-62	-52	-41	-21	-6	6	9	-3	1	9	36	59	33
4/8/09 17:30	4/6/09	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P.a	5	2.56	2	35	8	D	-70	-64	-59	-53	-41	-30	-28	-13	9	8	14	31	46	42
4/8/09 10:59	4/6/09	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	5	2.56	2	35	8	D	-70	-64	-59	-53	-41	-30	-28	-13	-7	1	8	24	40	36
11/25/08 16:59	11/21/08	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	8	4.20	2	57	6	D	-38	-22	-35	-38	-17	-29	-20	-1	0	2	-8	-8	-39	-26
11/21/08 12:26	11/19/08	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	NM	D		P.m	10	4.39	2	14	18	D	-41	-28	-41	-43	0	-32	-32	-18	2	11	5	-1	-35	-23
8/6/08 12:34	8/1/08	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	DT		S	-3,014	7.11	-424	-33	849	I	16	-6	26	7	3	6	4	3	-1	2	4	-14	-36	-50
8/6/08 12:33	8/1/08	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	DT		S	-3,014	7.11	-424	-33	849	I	16	-6	26	7	3	6	4	3	-1	2	4	-14	-36	-50
8/6/08 12:32	8/1/08	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DOT	P,CEO	S	-3,014	7.11	-424	-33	849	I	16	-6	26	7	3	6	4	3	-1	2	4	-14	-36	-50
8/6/08 12:31	8/1/08	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S	-3,014	7.11	-424	-33	849	I	16	-6	26	7	3	6	4	3	-1	2	4	-14	-36	-50
4/9/08 17:52	4/7/08	EQS	Fund	CEF	Closed-End Funds	Douglass Sam P	TX	DO	CEO	P.m	46	6.96	7	1	701	M	0	-17	-4	7	2	7	7	3	0	0	-3	-1	-14	-64
4/9/08 17:51	4/7/08	EQS	Fund	CEF	Closed-End Funds	Douglass Paula Terry	TX	O	VP	P.m	46	6.96	7	1	701	M	0	-17	-4	7	2	7	7	3	0	0	-3	-1	-14	-64
4/7/08 17:01	4/3/08	EQS	Fund	CEF	Closed-End Funds	Douglass Sam P	TX	DO	CEO	P.m	12	6.80	2	0	695	M	-1	-18	-6	7	1	1	3	3	0	-1	-1	2	-12	-60
4/7/08 16:57	4/3/08	EQS	Fund	CEF	Closed-End Funds	Douglass Paula Terry	TX	O	VP	P.m	12	6.80	2	0	695	M	-1	-18	-6	7	1	1	3	3	0	-1	-1	2	-12	-60
11/29/07 12:49	11/28/07	EQS	Fund	CEF	Closed-End Funds	Douglass Paula Terry	TX	O	VP	P.m	228	6.34	36	6	677	M	-4	-17	-26	-19	-12	-4	-1	4	0	-1	-1	11	19	-24
11/29/07 12:49	11/27/07	EQS	Fund	CEF	Closed-End Funds	Douglass Sam P	TX	DO	CEO	P.m	228	6.34	36	6	677	M	-4	-17	-26	-19	-12	-4	-1	4	0	-1	-1	11	19	-24
11/27/07 16:29	11/27/07	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	TX	D		P	18	6.10	3	25	15	D	-6	-20	-27	-17	-16	-8	-3	-1	3	4	2	17	21	-21
10/2/07 11:46	9/27/07	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S.a	-1,468	7.74	-190	-13	1,273	I	25	9	-11	-10	4	-1	1	1	1	-2	-14	-16	-8	-12
10/2/07 11:38	9/27/07	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	DT		S.a	-1,468	7.74	-190	-13	1,273	I	25	9	-11	-10	4	-1	1	1	1	-2	-14	-16	-8	-12
10/2/07 11:30	9/27/07	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	DT		S.a	-1,468	7.74	-190	-13	1,273	I	25	9	-11	-10	4	-1	1	1	1	-2	-14	-16	-8	-12
10/2/07 11:15	9/27/07	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DOT	CEO	S.a	-1,468	7.74	-190	-13	1,273	I	25	9	-11	-10	4	-1	1	1	1	-2	-14	-16	-8	-12
10/1/07 12:51	9/27/07	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	DT		S	-2,147,484	1,266,360	-190	-13	1,273	I	25	8	-10	-13	7	-2	-1	-1	1	0	-12	-17	-8	-9
10/1/07 12:42	9/27/07	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	DT		S	-2,147,484	1,266,360	-190	-13	1,273	I	25	8	-10	-13	7	-2	-1	-1	1	0	-12	-17	-8	-9
10/1/07 12:35	9/27/07	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DOT	CEO	S.a	-2,147,484	1,266,360	-190	-13	1,273	I	25	8	-10	-13	7	-2	-1	-1	1	0	-12	-17	-8	-9
10/1/07 12:28	9/27/07	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		S	-2,147,484	1,266,360	-190	-13	1,273	D	25	8	-10	-13	7	-2	-1	-1	1	0	-12	-17	-8	-9
10/1/07 12:19	9/27/07	EQS	Fund	CEF	Closed-End Funds	Denos Kenneth I	UT	DOT	CEO	S	-2,147,484	1,266,360	-190	-13	1,273	I	25	8	-10	-13	7	-2	-1	-1	1	0	-12	-17	-8	-9
5/25/07 15:14	5/23/07	EQS	Fund	CEF	Closed-End Funds	Feinsilver Alan D	TX	D		S	-61	8.82	-7	-68	3	D	51	23	12	3	-4	-4	-2	-2	-1	2	-1	-11	-26	-11
8/18/06 17:02	8/17/06	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	TX	D		S	-9	7.15	-1	-6	21	M	35	11	-5	-3	0	2	2	2	0	1	4	15	22	9
8/18/06 17:02	8/17/06	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	TX	D		P	20	7.20	3	15	21	M	35	11	-5	-3	0	2	2	2	0	1	4	15	22	9
5/19/06 11:44	5/18/06	EQS	Fund	CEF	Closed-End Funds	Tuggle Francis D Dr	CA	D		P	1	7.43	0	1	6										-2	0	-1	-3	11	26
2/24/06 13:44	2/23/06	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	D		P	2,230	7.08	315	27	1,463	B									0	1	1	-1	-3	19
2/24/06 13:40	2/23/06	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		P	2,230	7.08	315	27	1,463	B									0	1	1	-1	-3	19
2/24/06 13:34	2/23/06	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	D		P	2,230	7.08	315	27	1,463	B									0	1	1	-1	-3	19
2/24/06 13:15	2/23/06	EQS	Fund	CEF	Closed-End Funds	McC Europe Ltd	X0	T		P	2,230	7.08	315	27	1,463										0	1	1	-1	-3	19
1/4/06 17:47	12/30/05	EQS	Fund	CEF	Closed-End Funds	Moore, Clayton & Co., Inc.	UT	T		P	6,601	9.90	667	60	1,778	B									-1	0	6	12	4	25
1/4/06 17:30	12/30/05	EQS	Fund	CEF	Closed-End Funds	Moore Anthony R	TX	DO	Co-CB,P	P	6,601	9.90	667	60	1,778	B									-1	0	6	12	4	25
1/4/06 17:24	12/31/05	EQS	Fund	CEF	Closed-End Funds	McC Europe Ltd	X0	T		P.m	6,601	9.90	667	60	1,778										-1	0	6	12	4	25
1/4/06 17:03	12/30/05	EQS	Fund	CEF	Closed-End Funds	Clayton Sharon	UT	D		P	6,601	9.90	667	60	1,778	B									-1	0	6	12	4	25
12/2/05 17:16	12/1/05	EQS	Fund	CEF	Closed-End Funds	Boyd Charles M	TX	D		P	7	9.30	1	New	1	D	23	20	13	9	7	3	0	0	-1	-2	-3	6	6	16
11/17/05 14:53	11/16/05	EQS	Fund	CEF	Closed-End Funds	Walsh James M	TX	D		P	9	9.27	1	50	3	D	25	20	19	8	7	6	4	-1	1	2	-3	7	5	18
8/23/05 14:29	8/22/05	EQS	Fund	CEF	Closed-End Funds	Walsh James M	TX	D		P.m	9	8.66	1	100	2	D	20	27	8	9	4	4	4	2	0	-1	-1	7	13	9
8/22/05 17:05	8/22/05	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		P	9	8.70	1	77	2	D	20	24	7	11	4	3	4	2	0	0	-1	7	13	9
7/5/05 14:20	6/30/05	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		M.d	50	7.65	7		1	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 14:20	6/30/05	EQS	Trans	TrSv	Arrangement of Transportation	Knauss Robert L	TX	D		S.d	-55	8.38	-7	-84	1	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:03	6/30/05	EQS	Fund	CEF	Closed-End Funds	Douglass Sam P	TX	DO	CEO	M.d	1,827	7.69	238	111	451	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:03	6/30/05	EQS	Fund	CEF	Closed-End Funds	Douglass Sam P	TX	DO	CEO	S.d	-1,991	8.38	-238	-34	451	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:03	6/30/05	EQS	Fund	CEF	Closed-End Funds	Lehmann Nolan	TX	DO	P	M.d	1,559	7.69	203	463	246	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:03	6/30/05	EQS	Fund	CEF	Closed-End Funds	Lehmann Nolan	TX	DO	P	S.d	-1,699	8.38	-203	-45	246	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:02	6/30/05	EQS	Fund	CEF	Closed-End Funds	Orvieto Brad	FL	D		M.d	17	7.72	2	789	2	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:02	6/30/05	EQS	Fund	CEF	Closed-End Funds	Orvieto Brad	FL	D		S.d	-18	8.38	-2	-47	2	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:02	6/30/05	EQS	Fund	CEF	Closed-End Funds	Storms John W	TX	D		M.d	50	7.65	7	250	9	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:02	6/30/05	EQS	Fund	CEF	Closed-End Funds	Storms John W	TX	D		S.d	-55	8.38	-7	-42	9	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:02	6/30/05	EQS	Fund	CEF	Closed-End Funds	Tuggle Francis D Dr	CA	D		M.d	49	7.66	6		4	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:02	6/30/05	EQS	Fund	CEF	Closed-End Funds	Tuggle Francis D Dr	CA	D		S.d	-54	8.38	-6	-59	4	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:01	6/30/05	EQS	Fund	CEF	Closed-End Funds	Petersen Gary R	TX	D		M.d	50	7.65	7		2	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:01	6/30/05	EQS	Fund	CEF	Closed-End Funds	Petersen Gary R	TX	D		S.d	-55	8.38	-7	-74	2	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:01	6/30/05	EQS	Fund	CEF	Closed-End Funds	Williams Edward E	TX	D		M.d	50	7.65	7	16	48	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 12:01	6/30/05	EQS	Fund	CEF	Closed-End Funds	Williams Edward E	TX	D		S.d	-55	8.38	-7	-12	48	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:59	6/30/05	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	TX	D		M.d	50	7.65	7	167	11	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:59	6/30/05	EQS	Fund	CEF	Closed-End Funds	Flanagan Gregory J	TX	D		S.d	-55	8.38	-7	-38	11	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:59	6/30/05	EQS	Fund	CEF	Closed-End Funds	Walters James Philip	TX	O	VP,Contr	M.d	385	7.69	50		0	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:59	6/30/05	EQS	Fund	CEF	Closed-End Funds	Walters James Philip	TX	O	VP,Contr	S.d	-419	8.38	-50	-100	0	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:58	6/30/05	EQS	Fund	CEF	Closed-End Funds	Nicodemus Harry O IV	TX	O	VP,CFO	M.d	1,083	7.74	140		0	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:58	6/30/05	EQS	Fund	CEF	Closed-End Funds	Nicodemus Harry O IV	TX	O	VP,CFO	S.d	-1,173	8.38	-140	-100	0	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
7/5/05 11:58	6/30/05	EQS	Fund	CEF	Closed-End Funds	Forbes Gary L	TX	O	VP	S.d	-1,659	8.38	-198	-93	14	D	20	14	7	2	6	-2	-3	-2	1	1	1	5	9	14
12/3/04 11:48	12/2/04	EQS	Fund	CEF	Closed-End Funds	Lehmann Nolan	TX	DO	P	M.d	96	7.69	13	6	229	D	36	3	9	10	3	3	0	2	-1	-1	-1	5	6	20
12/22/03 16:59	12/22/03	EQS	Fund	CEF	Closed-End Funds	Douglass Sam P	TX	DO	CEO	S	-2	7.92	0	0	408	D	17	33	9	-2	2	-2	2	2	-1	3	3	0	-2	2
9/4/03 17:13	9/2/03	EQS	Fund	CEF	Closed-End Funds	Orvieto Brad	FL	D		P	9	8.89	1	90	2	D	8	34	32	11	9	6	5	2	-1	-4	-4	-1	-3	-8
8/26/03 17:24	8/26/03	EQS	Fund	CEF	Closed-End Funds	Tuggle Francis D Dr	CA	D		P	1	8.60	0	3	4	D	2	26	27	11	7	-1	2	2	1	4	3	0	3	-5

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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