Wynnefield Capital’s Equus Total Return EQS Stock Holding History

Wynnefield Capital’s Portfolio EQS Stock Details EQS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2020 Q4	–	Sell	-58,098	Closed	-$70K	–	22
2020 Q3	$70K	Hold	58,098	–	–	0.04%	20
2020 Q2	$68K	Hold	58,098	–	–	0.05%	20
2020 Q1	$55K	Sell	58,098 -13,206	-19%	-$20.4K	0.05%	23
2019 Q4	$130K	Hold	71,304	–	–	0.09%	23
2019 Q3	$115K	Hold	71,304	–	–	0.06%	26
2019 Q2	$117K	Hold	71,304	–	–	0.06%	28
2019 Q1	$136K	Hold	71,304	–	–	0.06%	26
2018 Q4	$140K	Hold	71,304	–	–	0.07%	27
2018 Q3	$142K	Hold	71,304	–	–	0.06%	27
2018 Q2	$168K	Hold	71,304	–	–	0.06%	30
2018 Q1	$170K	Hold	71,304	–	–	0.06%	36
2017 Q4	$171K	Hold	71,304	–	–	0.06%	35
2017 Q3	$173K	Hold	71,304	–	–	0.06%	36
2017 Q2	$168K	Buy	+71,304	New	+$182K	0.06%	40

Other funds holding EQS

Bulldog Investors Saddle Brook, New Jersey $445M AUM 2.55% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

SRC

Shufro Rose & Co New York $1.47B AUM 19.38% 1-Year Est. Return

BBPWM

Blue Bell Private Wealth Management Blue Bell, Pennsylvania $696M AUM 17.73% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Osaic Holdings Scottsdale, Arizona $68.3B AUM 20.5% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

WFI

West Family Investments Carlsbad, California $285M AUM 30.42% 1-Year Est. Return

Wynnefield Capital's EQS Position: Q4 2020 in Review

Wynnefield Capital sold out of Equus Total Return (EQS) in Q4 2020, closing a stake of 58,098 shares — an estimated $70K sold.

Wynnefield Capital first reported a position in EQS in Q2 2017 and held it in 14 quarters. The position peaked at $173K in Q3 2017. 11 funds tracked by Wall St. Rank hold EQS as of Q4 2020.

Wynnefield Capital reported no remaining Equus Total Return position as of Q4 2020 after selling out during the quarter.
Wynnefield Capital sold 58,098 Equus Total Return shares in Q4 2020, an estimated $70K.
Wynnefield Capital first reported a position in Equus Total Return in Q2 2017 and held it in 14 quarters.
Wynnefield Capital's Equus Total Return position peaked at $173K in Q3 2017.
11 funds tracked by Wall St. Rank held Equus Total Return as of Q4 2020.

Based on Wynnefield Capital's 13F filing for Q4 2020, filed 16 Feb 2021.