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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Equus Total Return, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 19, 2025 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Equus Total Return, Inc. 1-888-323-4533 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX – August 18, 2025 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of June 30, 2025, of $34.1 million. Net asset value per share decreased to $2.51 as of June 30, 2025, from $2.52 as of March 31, 2025. Comparative data is summarized below ( |
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| August 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (E |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WACHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 814-00098 (Check One): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ X ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: June 30, 2025 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ |
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| July 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 20, 2025 |
EXHIBIT 99.1 Contact: Equus Total Return, Inc. 1-888-323-4533 EQUUS RECEIVES NOTICE OF NON-COMPLIANCE WITH NEW YORK STOCK EXCHANGE SHARE PRICE RULE Company Intends to Regain Compliance with NYSE Rule Notice Has No Immediate Impact on the Listing or Trading of Equus Common Stock HOUSTON, TX – May 20, 2025 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) announced today that it was |
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| May 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 19, 2025 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Equus Total Return, Inc. 1-888-323-4533 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 19, 2025 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of March 31, 2025, of $34.2 million. Net asset value per share increased to $2.52 as of March 31, 2025, from $2.17 as of December 31, 2024. Comparative data is summarized below |
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| May 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. ( |
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| May 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WACHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 814-00098 (Check One): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ X ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: March 31, 2025 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ |
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| May 12, 2025 |
SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 23, 2025 |
SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 11, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 11, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employe |
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| April 11, 2025 |
EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Equus Total Return, Inc. 1-888-323-4533 EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE HOUSTON, TX – April 11, 2025 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of December 31, 2024, of $29.5 million. Net asset value per share decreased to $2.17 as of December 31, 2024, from $2.96 as of September 30, 2024. Comparative data is summari |
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| April 10, 2025 |
EXHIBIT 99.2 Morgan E&P, LLC Financial Statements As of December 31, 2024 and 2023 and for the year ended December 31, 2024 and the period from inception (April 3, 2023) through December 31, 2023 TableOfContents Morgan E&P, LLC Contents Independent Auditor’s Report 3 Financial Statements Balance Sheets 5 Statements of Operations 6 Statements of Changes in Member’s Deficit 7 Statements of Cash Flow |
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| April 10, 2025 |
EXHIBIT 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2024 and 2023 and for the three years ended December 31, 2024 TableOfContents Equus Energy, LLC and Subsidiary Contents Independent Auditor’s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 5 Consolidated Statements of Operations 6 Consolidated Statements of Changes in Member’s |
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| April 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2024 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (Ex |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WACHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 814-00098 (Check One): [ X ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2024 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11- |
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| March 10, 2025 |
Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 4, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| February 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| February 18, 2025 |
10.1 Securities Purchase Agreement dated February 10, 2025. EXHIBIT 10.1 EQUUS TOTAL RETURN, INC. SECURITIES PURCHASE AGREEMENT DATED AS OF [●], 2025 (“SUBSCRIPTION DATE”) THE SECURITIES OFFERED HEREBY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY STATE SECURITIES LAWS, AND, UNLESS SO REGISTERED, MAY NOT BE OFFERED, SOLD, ASSIGNED, PLEDGED OR OTHERWISE DISPOSED OF, EXCEPT PURSUANT TO AN EXEMPTION FROM, |
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| February 18, 2025 |
10.2 Subscription Agreement dated February 10, 2025. EXHIBIT 10.2 EXECUTION COPY GENERAL ENTERPRISE VENTURES, INC. SUBSCRIPTION AGREEMENT THE SECURITIES OFFERED BY THIS SUBSCRIPTION AGREEMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY STATE SECURITIES LAWS, AND, UNLESS SO REGISTERED, MAY NOT BE OFFERED, SOLD, ASSIGNED, PLEDGED OR OTHERWISE DISPOSED OF, EXCEPT PURSUANT TO AN EXEMPTION FROM, OR |
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| February 4, 2025 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 18, 2024 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| January 6, 2025 |
EQUUS ANNOUNCES APPOINTMENTS OF FRASER ATKINSON AS CHAIRMAN AND JOHN J. MAY AS DIRECTOR EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES APPOINTMENTS OF FRASER ATKINSON AS CHAIRMAN AND JOHN J. MAY AS DIRECTOR HOUSTON, TX – January 6, 2025 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Fund”) today announces that Fraser Atkinson has been appointed as the Fund’s independent Chairman of the Board and that John J. May has been appoi |
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| January 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 30, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 19, 2024 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: November 12, 2024 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 15, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 15, 2024 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX – November 14, 2024 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of September 30, 2024, of $40.2 million. Net asset value per share decreased to $2.96 as of September 30, 2024, from $3.66 as of June 30, 2024. Comparativ |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, IN |
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| November 7, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 f8kequus1112024.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Juris |
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| October 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Emplo |
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| August 20, 2024 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX – August 20, 2024 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of June 30, 2024, of $49.8 million. Net asset value per share increased to $3.66 as of June 30, 2024, from $3.38 as of March 31, 2024. Comparative data is |
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| August 20, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (E |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WACHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 814-00098 (Check One): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ X ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: June 30, 2024 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ |
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| August 2, 2024 |
40-17F2 1 n17f2equus07172024.htm FORM N-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: July 17, 2024 2. State Identification Number: |
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| June 28, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 16, 2024 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 16, 2024 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of March 31, 2024, of $45.9 million. Net asset value per share decreased to $3.38 as of March 31, 2024, from $3.55 as of December 31, 2023. Comparative data is |
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| May 16, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. ( |
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| April 29, 2024 |
SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 3, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 3, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| April 3, 2024 |
EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE Morgan E&P’s Fair Value Increases $7.6 Million EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE Morgan E&P’s Fair Value Increases $7.6 Million HOUSTON, TX – April 3, 2024 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of December 31, 2023, of $48.3 million. Net asset value per share increased to $3.55 as of December 31, 2023, |
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| April 2, 2024 |
Equus Total Return, Inc. Compensation Recoupment Policy EXHIBIT 97.1 EQUUS TOTAL RETURN, INC. COMPENSATION RECOUPMENT POLICY 1. Persons Subject to this Policy. This policy is applicable to all executive officers (as defined in Rule 3b-7 under the Securities Exchange Act of 1934, as amended) of Equus Total Return, Inc. (the “Company”). This policy will also apply to such other employees, or classes of employees, of the Company as may be determined from |
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| April 2, 2024 |
EXHIBIT 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2023 and 2022 and for the three years ended December 31, 2023 Equus Energy, LLC and Subsidiary Contents Independent Auditor’s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 5 Consolidated Statements of Operations 6 Consolidated Statements of Changes in Member’s (Deficit) Equit |
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| April 2, 2024 |
EXHIBIT 99.2 Morgan E&P, LLC Financial Statements As of December 31, 2023 and for the period from inception (April 3, 2023) to December 31, 2023 Morgan E&P, LLC Contents Independent Auditor’s Report 3 Financial Statements Balance Sheet 5 Statement of Operations 6 Statement of Changes in Member’s Deficit 7 Statement of Cash Flows 8 Notes to Financial Statements 9 2 Independent Auditor’s Report Boar |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (Ex |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WACHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 814-00098 (Check One): [ X ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2023 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11- |
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| February 22, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2024 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| February 22, 2024 |
EQUUS SUBSIDIARY MORGAN E&P COMPLETES TWO HORIZONTAL WELLS EXHIBIT 99.1 EQUUS SUBSIDIARY MORGAN E&P COMPLETES TWO HORIZONTAL WELLS · Completes Sale of Wellbore Working Interest For $5.6 Million · Gross Oil Production Over 1,000 Barrels Per Day HOUSTON, TX, February 13, 2024 (GLOBE NEWSWIRE) - Equus Total Return, Inc. (NYSE: EQS) ("Equus") today announced that Morgan E&P, LLC ("Morgan"), a wholly-owned subsidiary of Equus, has completed its first two wells |
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| February 22, 2024 |
EQUUS SUBSIDIARY MORGAN E&P PROVIDES UPDATE ON RESERVES CERTIFIED PROVEN RESERVE PV10 VALUE UP 135% EXHIBIT 99.2 EQUUS SUBSIDIARY MORGAN E&P PROVIDES UPDATE ON RESERVES CERTIFIED PROVEN RESERVE PV10 VALUE UP 135% HOUSTON, TX, February 14, 2024 (GLOBE NEWSWIRE) - Equus Total Return, Inc. (NYSE: EQS) ("Equus") today announced that its wholly-owned subsidiary Morgan E&P, LLC ("Morgan"), has received from Cawley, Gillespie & Associates, Inc. (“CG&A”) an updated reserve estimate as of January 1, 2024 |
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| February 13, 2024 |
SC 13G/A 1 sc13ga309076eqs02142024.htm AMENDMENT NO. 3 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)1 Equus Total Return, Inc. (Name of Issuer) Common Stock, par val |
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| February 12, 2024 |
EQS / Equus Total Return, Inc. / Horberg Howard Todd - AMENDMENT NO. 1 TO SC13G Passive Investment SC 13G/A 1 sc13g-a.htm AMENDMENT NO. 1 TO SC13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this State |
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| December 21, 2023 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 13, 2023 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 21, 2023 |
November 21, 2023 VIA EDGAR Mr. Jeff Long Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Telephone: (202) 551-6983 email: [email protected] Re: Equus Total Return, Inc. (“Equus” or the “Fund”) Annual Report on Form 10-K for the Year Ended December 31, 2022 (File No. 814-0098) Dear Mr. Long: As you know, Equus is a closed-end fund th |
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| November 17, 2023 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: October 10, 2023 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 15, 2023 |
EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE Morgan E&P, LLC, Wholly-Owned Subsidiary of Equus, Commences Drilling Two Wells HOUSTON, TX – November 14, 2023 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of September 30, 2023, of $47.1 million. Net asset value per share increas |
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| November 15, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, IN |
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| October 20, 2023 |
October 19, 2023 VIA EDGAR Mr. Jeff Long Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Telephone: (202) 551-6983 email: [email protected] Re: Equus Total Return, Inc. (“Equus” or the “Fund”) Annual Report on Form 10-K for the Year Ended December 31, 2022 (File No. 814-0098) Dear Mr. Long: As you know, Equus is a closed-end fund tha |
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| August 15, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 15, 2023 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX – August 15, 2023 – Equus Total Return, Inc. |
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| August 15, 2023 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: July 19, 2023 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (E |
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| May 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 26, 2023 |
EQUUS ANNOUNCES RESULTS OF ANNUAL STOCKHOLDER MEETING EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL STOCKHOLDER MEETING HOUSTON, TX – May 26, 2023 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Fund”) announced the results of the Fund’s Annual Meeting of Stockholders which took place on Thursday, May 25, 2023. The purpose of the meeting was to: (i) elect five director nomine |
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| May 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 25, 2023 |
10.1 Purchase and Sale Agreement between Morgan E&P, LLC and Pro Energy I LLC. EXHIBIT 10.1 PURCHASE AND SALE AGREEMENT Effective as of May 12, 2023 by and between PRO ENERGY I LLC as “Seller,” and MORGAN E&P, LLC, as “Buyer” Table of Contents Table of Contents Page RECITALS 3 AGREEMENT 3 1. Purchase and Sale 3 2. Purchase Price 6 3. Effective Time and Closing 6 4. Apportionment of Revenues, Costs and Expenses 6 5. Representations and Warranties of Seller 6 6. Representation |
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| May 25, 2023 |
EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS SUBSIDIARY, MORGAN E&P, ACQUIRES 4,747 NET ACRES IN THE BAKKEN ENTERS INTO A PURCHASE AND SALE AGREEMENT WITH PRO ENERGY I HOUSTON, TX - May 22, 2023 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) today announced the closing of a Purchase and Sale Agreement (“PSA”) between Morgan E&P, LLC, (“Mo |
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| May 18, 2023 |
EQUUS FORMS MORGAN E&P, LLC AS NEW OIL AND GAS SUBSIDIARY EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS FORMS MORGAN E&P, LLC AS NEW OIL AND GAS SUBSIDIARY HOUSTON, TX- May 16, 2023 - Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) announced the formation of a new wholly-owned subsidiary, Morgan E&P, LLC (“Morgan”). Morgan will focus on the acquisition, development and operation of oil and gas asset |
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| May 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 12, 2023 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 10, 2023 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of March 31, 2023, of $34.1 million. Net asset value per share decreased to $2.52 as of March 31, 2023, from $2.61 as of December 31, 2022. Comparative data is |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 f10qequus03312023.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Numb |
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| April 24, 2023 |
DEF 14A 1 def14aequus04242024.htm DEFINITIVE INFORMATION STATEMENT SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| March 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2023 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employe |
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| March 29, 2023 |
EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE HOUSTON, TX – March 28, 2023 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of December 31, 2022, of $35.2 million. Net asset value per share decreased to $2.61 as of December 31, 2022, from $2.68 as of September 30, 2022. Comparati |
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| March 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 10-K 1 f10kequus12312022.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| March 28, 2023 |
Consolidated Financial Statements of Equus Energy, LLC and Subsidiary EXHIBIT 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2022 and 2021 and for the three years ended December 31, 2022 Table of Contents Equus Energy, LLC and Subsidiary Contents Independent Auditor’s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 5 Consolidated Statements of Operations 6 Consolidated Statements of Changes in Member |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)1 Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) |
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| January 18, 2023 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 7, 2022 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 15, 2022 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: September 20, 2022 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID I |
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| November 14, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 14, 2022 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX ? November 14, 2022 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) reports net assets as of September 30, 2022, of $36.2 million. Net asset value per share decreased to $2.68 as of September 30, 2022, from $2.75 as of June 30, 2022. Comparativ |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, IN |
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| November 4, 2022 |
EXHIBIT 99.1 EQUUS SHAREHOLDERS GRANT AUTHORIZATION TO WITHDRAW BDC ELECTION Authorization Supports Company?s Intent to Effect a Transformative Transaction HOUSTON, TX ? November 3, 2022 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) today announced that shareholders, collectively holding 7,166,015 shares (53.01% of the Company?s issued and outstanding common stock), have author |
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| November 4, 2022 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Emplo |
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| November 3, 2022 |
DEF 14C 1 def14cequus11022022.htm DEFINITIVE INFORMATION STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: □ Preliminary information statement □ Confidential, for use of th |
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| October 7, 2022 |
EQS / Equus Total Return, Inc. / Horberg Howard Todd Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) September 29, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the |
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| August 15, 2022 |
40-17F2 1 n17f2equus07122022.htm SECURITY COUNT U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: July 12, 2022 2. State Identification Numbe |
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| August 15, 2022 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX ? August 15, 2022 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) reports net assets as of June 30, 2022, of $37.2 million, a decrease of approximately $0.2 million since March 31, 2022. Net asset value per share decreased to $2.75 as of June |
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| August 15, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2022 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (E |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 1)1 Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) DAVID E. LAZ |
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| June 13, 2022 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2022 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| June 13, 2022 |
EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING HOUSTON, TX ? June 13, 2022 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) announces the results of the Company?s Annual Meeting of Stockholders which took place on Thursday, June 9, 2022. The purpose of the meeting was to consider and approve the |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 f10qequus03312022.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Numb |
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| May 12, 2022 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX ? May 12, 2022 ? Equus Total Return, Inc. |
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| May 12, 2022 |
Financial Statements and Exhibits, Other Events 8-K 1 f8kequus05122022.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2022 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdic |
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| April 29, 2022 |
DEF 14A 1 def14aequus04192022.htm FORM DEF 14C SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive proxy statement |
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| April 4, 2022 |
EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE HOUSTON, TX ? March 30, 2022 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) reports net assets as of December 31, 2021, of $36.4 million, an increase of approximately $0.2 million since September 30, 2021. Net asset value per share increased to $2.69 as |
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| April 4, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2022 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employe |
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| March 30, 2022 |
EXHIBIT 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2021 and 2020 and for the three years ended December 31, 2021 1 Equus Energy, LLC and Subsidiary Contents Independent Auditor?s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 5 Consolidated Statements of Operations 6 Consolidated Statements of Changes in Member?s (Deficit) Equ |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (Ex |
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| February 14, 2022 |
SC 13G/A 1 sc13ga109076eqs02142022.htm AMENDMENT NO. 1 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Equus Total Return, Inc. (Name of Issuer) Common Stock, par val |
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| January 18, 2022 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 17, 2021 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| December 1, 2021 |
40-17F2 1 n17f2equus11302021.htm FORM N-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: November 4, 2021 2. State Identification Numb |
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| November 17, 2021 |
40-17F2 1 n17f2equus11152021.htm FORM N-14F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: September 28, 2021 2. State Identification Nu |
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| November 16, 2021 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX – November 15, 2021 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of September 30, 2021, of $36.2 million, an increase of approximately $1.5 million since June 30, 2021. Net asset value per share increased to $2.68 as of |
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| November 16, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 f8kequus11152021.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jur |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, IN |
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| October 18, 2021 |
EQS / Equus Total Return, Inc. / des Pallieres Bertrand - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) Equus Total Return, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 294766100 (CUSIP Number) Kenneth I. Denos 700 Louisiana St. 48th Floor Houston, TX 77002 Telephon |
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| October 4, 2021 |
EQS / Equus Total Return, Inc. / TOKARZ MICHAEL T - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) Michael Tokarz 287 Bowman Avenue Suite 331 Purchase, NY 10577 (914) 701-0310 (Name, Address and Telephone Number of P |
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| August 20, 2021 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 20, 2021 |
EXHIBIT 99.1 EQUUS SHAREHOLDERS GRANT AUTHORIZATION TO WITHDRAW BDC ELECTION Authorization Supports Company?s Intent to Effect a Transformative Transaction HOUSTON, TX ? August 20, 2021 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) today announced that shareholders, collectively holding 7,511,448 shares (55.64% of the Company?s issued and outstanding common stock), have authori |
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| August 18, 2021 |
DEF 14C 1 def14cequus8162021.htm FORM DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: □ Preliminary information statement □ Confidential, for use of the Commission only (as |
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| August 17, 2021 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX ? August 16, 2021 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) reports net assets as of June 30, 2021, of $34.7 million, an increase of approximately $0.6 million since March 31, 2021. Net asset value per share increased to $2.57 as of June |
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| August 17, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 16, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (E |
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| July 20, 2021 |
Press Release, dated July 20, 2021. EX-99.1 2 equustotalreturnex99-1.htm PRESS RELEASE Exhibit 99.1 Custodian Ventures Announces 5.1% Ownership Interest in Equus Total Return, Inc. NEW YORK, July 20, 2021, Custodian Ventures LLC (together with its affiliates, “Custodian Ventures” or “we”), today filed a Schedule 13D announcing its acquisition of approximately 5.1% of the common stock outstanding of Equus Total Return, Inc. (NYSE: EQ |
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| July 20, 2021 |
Joint Filing Agreement, dated July 20, 2021. EX-99.2 3 equustotalreturnex99-2.htm JOINT FILING AGREEMENT Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, par value $0.00 |
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| July 20, 2021 |
EQS / Equus Total Return, Inc. / Custodian Ventures LLC. - THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. )1 Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) DAVID ELLIOT |
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| July 16, 2021 |
EQS / Equus Total Return, Inc. / TOKARZ MICHAEL T - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) July 8, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| June 1, 2021 |
EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING HOUSTON, TX ? May 28, 2021 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) announces the results of the Company?s Annual Meeting of Stockholders which took place on Thursday, May 27, 2021. The purpose of the meeting was to consider and approve the |
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| June 1, 2021 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 f8kequus05272021.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdic |
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| May 14, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 14, 2021 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE EX-99.1 2 ex991pressrelease05142021.htm PRESS RELEASE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 14, 2021 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) reports net assets as of March 31, 2021, of $34.1 million, an increase of approximately $0.3 million since December 31, 2020. N |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 f10qequus03312021.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Numb |
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| May 7, 2021 |
[EXPLANATORY NOTE: This Definitive Proxy Statement on Schedule 14A of Equus Total Return, Inc. |
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| April 30, 2021 |
SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 1, 2021 |
EQUUS REPORTS FOURTH QUARTER RESULTS Dispositions Key to Success of Acquisition Strategy EX-99.1 2 ex991pressrelease03312021.htm PRESS RELEASE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS REPORTS FOURTH QUARTER RESULTS Dispositions Key to Success of Acquisition Strategy HOUSTON, TX – March 31, 2021 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of December 31, 2020, of $33.8 million, a decrease of approxima |
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| April 1, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 f8kequus03312021.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisd |
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| March 31, 2021 |
10-K 1 f10kequus12312020.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2020 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number |
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| March 31, 2021 |
EXHIBIT 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2020 and 2019 and for the three years ended December 31, 2020 Table of Contents Equus Energy, LLC and Subsidiary Contents Independent Auditor?s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 5 Consolidated Statements of Operations 6 Consolidated Statements of Changes in Member |
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| March 11, 2021 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 22, 2020 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| January 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Equus Total Return, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 294766100 (CUSIP Number) |
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| January 21, 2021 |
EXHIBIT 3.1 THIRD RESTATED CERTIFICATE OF INCORPORATION OF EQUUS TOTAL RETURN, INC. Equus Total Return, Inc., a Delaware corporation, does hereby certify that: 1. The name under which the Corporation was originally incorporated is Equus II Incorporated. The original Certificate of Incorporation of the Corporation was filed with the Secretary of State of Delaware on August 16, 1991, and the first a |
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| January 21, 2021 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 f8kequus01202021.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Juri |
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| January 21, 2021 |
EXHIBIT 99.1 EQUUS SHAREHOLDERS GRANT AUTHORIZATION TO WITHDRAW BDC ELECTION AND INCREASE AUTHORIZED SHARES Authorization Prepares Company for Potential Transformative Transaction HOUSTON, TX – January 20, 2021 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) today announced that the majority of its shareholders have authorized the Company’s Board of Directors (hereinafter, the “B |
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| January 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: □ Preliminary information statement □ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) x Definitive information statement EQUUS TOTAL RETURN, INC. |
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| January 20, 2021 |
THIRD RESTATED CERTIFICATE OF INCORPORATION EQUUS TOTAL RETURN, INC. EXHIBIT 1 THIRD RESTATED CERTIFICATE OF INCORPORATION OF EQUUS TOTAL RETURN, INC. Equus Total Return, Inc., a Delaware corporation, does hereby certify that: 1. The name under which the Corporation was originally incorporated is Equus II Incorporated. The original Certificate of Incorporation of the Corporation was filed with the Secretary of State of Delaware on August 16, 1991, and the first and |
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| January 4, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 f8kequus1012021.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2021 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisd |
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| January 4, 2021 |
EQUUS RECEIVES INITIAL PAYMENT FROM SALE OF ITS INTEREST IN PALLETONE, INC. EXHIBIT 99.1 EQUUS RECEIVES INITIAL PAYMENT FROM SALE OF ITS INTEREST IN PALLETONE, INC. HOUSTON, TX – January 4, 2021 – Equus Total Return, Inc. (NYSE: EQS) (“Equus”) announced that it has received an initial payment of $18.2 million in connection with the sale of its shareholding in PalletOne, Inc. The remaining amount, expected to be received in the second quarter of 2021, is based upon potenti |
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| December 29, 2020 |
EX-99.1 2 ex991pressrelease12282020.htm PRESS RELEASE EXHIBIT 99.1 EQUUS ANNOUNCES COMPLETION OF SALE OF ITS INTEREST IN PALLETONE, INC. PalletOne Acquired by UFP Industries HOUSTON, TX – December 28, 2020 – Equus Total Return, Inc. (NYSE: EQS) (“Equus”) today announced that UFP Industries, Inc. has closed on its agreement to purchase of 100% of the equity of PalletOne, Inc. for approximately $232 |
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| December 29, 2020 |
Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 28, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| December 11, 2020 |
EQUUS ANNOUNCES PENDING SALE OF ITS INTEREST IN PALLETONE, INC. PalletOne Scheduled to be Acquired by UFP Industries Before Year-End HOUSTON, TX – December 10, 2020 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) today announced that the Board of Directors of UFP Industries, Inc. (Nasdaq: UFPI) has approved the purchase of 100% of the equity of PalletOne, Inc. for approximately $ |
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| December 11, 2020 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: October 28, 2020 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| December 11, 2020 |
Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 30, 2020 |
EQUUS TOTAL RETURN, INC. November 30, 2020 VIA EDGAR Mr. Jeff Long Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Telephone: (202) 551-6983 email: [email protected] Re: Equus Total Return, Inc. (“Equus” or the “Fund”) Annual Report on Form 10-K for the Year Ended December 31, 2019 (File No. 814-0098) Dear Mr. Long: As you know, Equu |
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| November 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 25, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 18, 2020 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE EX-99.1 2 ex991pressrelease11172020.htm PRESS RELEASE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX – November 17, 2020 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of September 30, 2020, of $37.4 million, a decrease of approximately $4.1 million since June 30, 2020. |
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| November 18, 2020 |
Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, IN |
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| October 28, 2020 |
U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: August 28, 2020 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL I |
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| October 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Emplo |
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| August 14, 2020 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX – August 13, 2020 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of June 30, 2020, of $41.5 million, an increase of approximately $2.6 million since March 31, 2020. Net asset value per share increased to $3.07 as of June 30 |
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| August 14, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (E |
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| July 20, 2020 |
EQS / Equus Total Return, Inc. / MVC CAPITAL, INC. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) EQUUS TOTAL RETURN, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 29476610 (CUSIP Number) Michael T. Tokarz, Chairman MVC Capital, Inc. 287 Bowman Avenue, 2nd Floor Purchase, New York 10577 914-701-0310 With a Copy to |
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| July 20, 2020 |
EQS / Equus Total Return, Inc. / Hardy John A. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) Equus Total Return, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 294766100 (CUSIP Number) Kenneth I. Denos 700 Louisiana St. 48th Floor Houston, TX 77002 Telephone: |
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| July 20, 2020 |
LOAN AGREEMENT This Loan Agreement (this “Agreement”) is made and entered into as of the 14th day of July, 2020 (the “Effective Date”), by and between PG Holdings LLC, a Delaware limited liability company (“Lender”), and Benton Capital Inc. |
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| July 20, 2020 |
EX-99.1 2 brhc10013574ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is entered into as of the 16th day of July, 2020, by and between Benton Capital Inc., a British Columbia corporation (“Buyer”), and MVC Capital, Inc., a Delaware corporation (“Seller”). Buyer and Seller are referred to herein individually as a “Party” and c |
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| July 20, 2020 |
SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is entered into as of the 16th day of July, 2020, by and between Benton Capital Inc. |
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| May 13, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 13, 2020 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 12, 2020 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of March 31, 2020, of $38.9 million, a decrease of approximately $7.1 million since December 31, 2019. Net asset value per share decreased to $2.88 as of March 31 |
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| May 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RET |
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| May 8, 2020 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer O |
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| May 8, 2020 |
EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING EX-99.1 2 ex991pressrelease05072020.htm PRESS RELEASE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING HOUSTON, TX – May 8, 2020 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) announced the results of the Company’s Annual Meeting of Stockholders which took place on Thursday, May 7, 2020. The pur |
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| April 3, 2020 |
EQS / Equus Total Return, Inc. DEF 14A - - DEF 14A SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 2, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2020 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employe |
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| April 2, 2020 |
EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FOURTH QUARTER NET ASSET VALUE HOUSTON, TX – March 31, 2020 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of December 31, 2019, of $46.0 million, a decrease of approximately $3.0 million since September 30, 2019. Net asset value per share decreased to $3.40 as of D |
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| March 30, 2020 |
Exhibit 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2019 and 2018 and for the three years ended December 31, 2019 Table of Contents Equus Energy, LLC and Subsidiary Contents Independent Auditor’s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 4 Consolidated Statements of Operations 5 Consolidated Statements of Changes in Member |
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| March 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2019 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (Ex |
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| January 31, 2020 |
EQS / Equus Total Return, Inc. 40-17F2 - - FORM N-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 18, 2019 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 20, 2019 |
EXHIBIT 99.1 EQUUS SHAREHOLDERS GRANT AUTHORIZATION TO WITHDRAW BDC ELECTION AND INCREASE BORROWING CAPACITY Authorization Supports Company’s Growth Strategies HOUSTON, TX – November 19, 2019 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) today announced that its shareholders have authorized the Company’s Board of Directors (hereinafter, the “Board”) to: (i) cause the Company’s |
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| November 20, 2019 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 18, 2019 |
EQS / Equus Total Return, Inc. DEF 14C - - FORM DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: □ Preliminary information statement □ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) x Definitive information statement EQUUS TOTAL RETURN, INC. |
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| November 14, 2019 |
EQS / Equus Total Return, Inc. 40-17F2 - - FORM N-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: October 23, 2019 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 14, 2019 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX – November 14, 2019 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of September 30, 2019, of $49.0 million, an increase of approximately $1.1 million since June 30, 2019. Net asset value per share increased to $3.63 as of Se |
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| November 14, 2019 |
Financial Statements and Exhibits, Other Events 8-K 1 f8kequus11142019.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jur |
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| November 13, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL |
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| August 14, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 14, 2019 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE EXHIBIT 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX – August 14, 2019 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of June 30, 2019, of $47.9 million, an increase of approximately $1.3 million since March 31, 2019. Net asset value per share increased to $3.55 as of June 30 |
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| August 14, 2019 |
EQS / Equus Total Return, Inc. 40-17F2 - - FORM 40-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: June 18, 2019 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN |
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| August 14, 2019 |
EQS / Equus Total Return, Inc. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETU |
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| August 13, 2019 |
EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”) is entered into as of August , 2019 by and between MVC Capital, Inc., a Delaware corporation (the “Seller”), and [], a [] [] (the “Buyer”). RECITALS A. The Seller intends to sell to the Buyer in the aggregate 608,310 shares (the “Shares”) of common stock, $0.001 par value per sha |
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| August 13, 2019 |
EQS / Equus Total Return, Inc. / MVC CAPITAL, INC. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) EQUUS TOTAL RETURN, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 29476610 (CUSIP Number) Michael T. Tokarz, Chairman MVC Capital, Inc. 287 Bowman Avenue, 2nd Floor Purchase, New York 10577 914-701-0310 With a Copy to |
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| July 31, 2019 |
Exhibit 99.1 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”) is entered into as of July , 2019 by and between MVC Capital, Inc., a Delaware corporation (the “Seller”), and [], a [] [] (the “Buyer”). RECITALS A. The Seller intends to sell to the Buyer in the aggregate 608,310 shares (the “Shares”) of common stock, $0.001 par value per share (the “Common Stock”), of Equus T |
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| July 31, 2019 |
EQS / Equus Total Return, Inc. / MVC CAPITAL, INC. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) EQUUS TOTAL RETURN, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 29476610 (CUSIP Number) Michael T. Tokarz, Chairman MVC Capital, Inc. 287 Bowman Avenue, 2nd Floor Purchase, New York 10577 914-701-0310 With a Copy to |
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| May 22, 2019 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 22, 2019 |
EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING HOUSTON, TX – May 22, 2019 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) announced the results of the Company’s Annual Meeting of Stockholders which took place on Friday, May 17, 2019. The purpose of the meeting was to consider and approve the fo |
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| May 14, 2019 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 14, 2019 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of March 31, 2019, of $46.6 million, an increase of approximately $3.1 million since December 31, 2018. Net asset value per share increased to $3.44 as of March 3 |
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| May 14, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 14, 2019 |
10-Q 1 f10qequus05082019.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission Fil |
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| April 8, 2019 |
EQS / Equus Total Return, Inc. DEF 14A DEF 14A 1 def14aequus2019.htm DEF 14A SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive proxy statement ☐ Defini |
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| April 1, 2019 |
EQUUS ANNOUNCES 2018 YEAR-END NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES 2018 YEAR-END NET ASSET VALUE HOUSTON, TX – March 29, 2019 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of December 31, 2018, of $43.5 million, an increase of approximately $0.5 million since December 31, 2017. Net asset value per share increased to $3.22 as of De |
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| April 1, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employe |
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| March 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2018 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (Ex |
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| March 29, 2019 |
EX-99.1 2 ex991eqsenergyfinancials.htm EX991EEFINANCIALS Exhibit 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2018 and 2017 and for the three years ended December 31, 2018 Table of Contents Independent Auditor’s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 4 Consolidated Statements of Operations 5 Consolidated Statements of Ch |
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| March 1, 2019 |
EQS / Equus Total Return, Inc. FORM 40-17F2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 21, 2018 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| January 25, 2019 |
EX-99.1 2 ex991pressrelease.htm PRESS RELEASE Exhibit 99.1 EQUUS SHAREHOLDERS GRANT NEW AUTHORIZATION TO WITHDRAW BDC ELECTION Authorization Supports Company’s Continued Intent to Effect a Transformative Reorganization HOUSTON, TX – January 24, 2019 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) today announced that its shareholders have granted a new authorization to the Compan |
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| January 25, 2019 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2019 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Emplo |
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| January 24, 2019 |
EQS / Equus Total Return, Inc. DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary information statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive information statement EQUUS TOTAL RETURN, INC. |
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| November 19, 2018 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX – November 16, 2018 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of September 30, 2018, of $46.6 million, an increase of approximately $2.5 million since June 30, 2018. Net asset value per share increased to $3.45 as of Se |
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| November 19, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL |
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| November 7, 2018 |
EQS / Equus Total Return, Inc. FORM 40-17F-2 40-17F2 1 f4017f2equus102518.htm FORM 40-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: October 23, 2018 2. State Identification Num |
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| October 25, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Emplo |
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| October 25, 2018 |
EQUUS ENERGY SELLS WORKING INTEREST IN HALEY FIELD Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ENERGY SELLS WORKING INTEREST IN HALEY FIELD HOUSTON, TX – October 23, 2018 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Fund”) announced that Equus Energy, LLC, a wholly-owned subsidiary of the Fund (“Equus Energy”), has sold a portion of its working interest in the Haley Field in Loving County, Texas |
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| August 29, 2018 |
EQUUS ENERGY SELLS WORKING INTEREST IN WORSHAM-BAYER FIELD Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ENERGY SELLS WORKING INTEREST IN WORSHAM-BAYER FIELD HOUSTON, TX – August 28, 2018 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Fund”) announced that Equus Energy, LLC, a wholly-owned subsidiary of the Fund (“Equus Energy”), has sold its working interest in the Worsham-Bayer Field in Reeves County, Tex |
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| August 29, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 14, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 14, 2018 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX – August 13, 2018 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of June 30, 2018, of $44.1 million, an increase of approximately $0.9 million since March 31, 2018. Net asset value per share increased to $3.26 as of June 30 |
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| August 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETU |
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| August 3, 2018 |
EQS / Equus Total Return, Inc. FORM 40-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: June 28, 2018 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN |
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| June 29, 2018 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| June 29, 2018 |
EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING EX-99.1 2 ex991pressrelease.htm PRESS RELEASE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING HOUSTON, TX – June 29, 2018 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) announced the results of the Company’s Annual Meeting of Stockholders which took place on Tuesday, June 26, 2018. The purpose |
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| May 23, 2018 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 f8kequus052318.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdicti |
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| May 23, 2018 |
Exhibit 99.1 EQUUS SHAREHOLDERS GRANT NEW AUTHORIZATION TO WITHDRAW BDC ELECTION Authorization Supports Company’s Continued Intent to Effect a Transformative Reorganization HOUSTON, TX – May 23, 2018 – Equus Total Return, Inc. (NYSE: EQS) (“Equus” or the “Company”) today announced that its shareholders have granted a new authorization to the Company’s Board of Directors (hereinafter, the “Board”) |
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| May 21, 2018 |
EQS / Equus Total Return, Inc. DEF 14C DEF 14C 1 def14cequus052118.htm DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: □ Preliminary information statement □ Confidential, for use of the Commission only (as permi |
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| May 15, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| May 15, 2018 |
EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES FIRST QUARTER NET ASSET VALUE HOUSTON, TX – May 15, 2018 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of March 31, 2018, of $43.3 million, an increase of approximately $0.3 million since December 31, 2017. Net asset value per share increased to $3.20 as of March 3 |
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| May 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RET |
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| April 30, 2018 |
EQS / Equus Total Return, Inc. PROXY STATEMENT DEF 14A 1 def14aequus050118.htm PROXY STATEMENT SCHEDULE 14A INFORMATION Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive proxy statemen |
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| April 18, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 17, 2018 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employe |
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| April 18, 2018 |
EQUUS ANNOUNCES 2017 YEAR-END NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES 2017 YEAR-END NET ASSET VALUE HOUSTON, TX – April 17, 2018 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) reports net assets as of December 31, 2017, of $43.0 million, an increase of approximately $1.0 million since September 30, 2017. Net asset value per share increased to $3.18 as of D |
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| April 17, 2018 |
Exhibit 99.1 Equus Energy, LLC and Subsidiary Consolidated Financial Statements As of December 31, 2017 and 2016 and for the years ended December 31, 2017, 2016 and 2015 Equus Energy, LLC and Subsidiary Contents Independent Auditor’s Report 3 Consolidated Financial Statements Consolidated Balance Sheets 4 Consolidated Statements of Operations 5 Consolidated Statements of Changes in Member’s Capita |
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| April 17, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2017 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 814-00098 EQUUS TOTAL RETURN, INC. (Ex |
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| April 2, 2018 |
EQS / Equus Total Return, Inc. FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 814-00098 (Check One): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2017 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K |
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| February 1, 2018 |
EQS / Equus Total Return, Inc. CERTIFICATE OF ACCOUNTING OF SECURITIES U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: December 21, 2017 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 21, 2017 |
EQS / Equus Total Return, Inc. FORM 40-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: October 30, 2017 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL |
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| November 15, 2017 |
EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES THIRD QUARTER NET ASSET VALUE HOUSTON, TX ? November 14, 2017 ? Equus Total Return, Inc. (NYSE: EQS) (the ?Fund? or ?Equus?) reports net assets as of September 30, 2017, of $42.0 million, a decrease of approximately $0.1 million since June 30, 2017. Net asset value per share decreased to $3.11 as of Sep |
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| November 15, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2017 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Empl |
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| November 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL |
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| September 8, 2017 |
Equus Total Return DEFINITIVE SCHEDULE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary information statement ? Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ? Definitive information statement EQUUS TOTAL RETURN, INC. |
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| August 28, 2017 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2017 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employ |
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| August 28, 2017 |
Exhibit 99.1 EQUUS SHAREHOLDERS GRANT NEW AUTHORIZATION TO WITHDRAW BDC ELECTION Authorization Supports Company?s Continued Intent to Effect a Transformative Reorganization HOUSTON, TX ? August 28, 2017 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) today announced that its shareholders have granted a new authorization to the Company?s Board of Directors (hereinafter, the ?Board |
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| August 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14C INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary information statement □ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) □ Definitive information statement EQUUS TOTAL RETURN, INC. |
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| August 15, 2017 |
EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES SECOND QUARTER NET ASSET VALUE HOUSTON, TX ? August 15, 2017 ? Equus Total Return, Inc. (NYSE: EQS) (the ?Fund? or ?Equus?) reports net assets as of June 30, 2017, of $42.1 million, an increase of approximately $0.7 million since March 31, 2017. Net asset value per share increased to $3.12 as of June 30 |
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| August 15, 2017 |
Financial Statements and Exhibits, Other Events 8-K 1 f8kequus081517.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2017 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdi |
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| August 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period to Commission File Number 814-00098 EQUUS TOTAL RETU |
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| August 1, 2017 |
Equus Total Return FORM 40-17F-2 U.S. Securities and Exchange Commission Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00098 Date examination completed: June 23, 2017 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN |
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| July 21, 2017 |
July 21, 2017 VIA EDGAR Mr. Jeff Long Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Telephone: (202) 551-6983 email: [email protected] Re: Equus Total Return, Inc. (?Equus? or the ?Fund?) Annual Report on Form 10-K for the Year Ended December 31, 2016 (File No. 814-0098) Dear Mr. Long: As you know, Equus is a closed-end fund that h |
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| June 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2017 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| June 30, 2017 |
EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING AND RE-APPOINTMENT OF DIRECTOR Exhibit 99.1 Contact: Patricia Baronowski Pristine Advisers, LLC (631) 756-2486 EQUUS ANNOUNCES RESULTS OF ANNUAL SHAREHOLDER MEETING AND RE-APPOINTMENT OF DIRECTOR HOUSTON, TX ? June 30, 2017 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) announced the results of the Company?s Annual Meeting of Stockholders which took place on Wednesday, June 28, 2017. The purpose of the meetin |
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| June 16, 2017 |
Exhibit 99.1 EQUUS RECEIVES $2.4 MILLION FROM BIOGENIC REAGENTS INVESTMENT Equus Receives Full Value for Senior Secured Note, Plus $407,000 in Interest HOUSTON, TX ? June 12, 2017 ? Equus Total Return, Inc. (NYSE: EQS) (?Equus? or the ?Company?) today announced that it has received full payment of its senior secured promissory note (?Note?) issued by Biogenic Reagents, LLC (?Biogenic?), a develope |
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| June 16, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2017 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
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| June 5, 2017 |
EQS / Equus Total Return, Inc. / MVC CAPITAL, INC. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) EQUUS TOTAL RETURN, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 29476610 (CUSIP Number) Michael T. Tokarz, Chairman MVC Capital, Inc. 287 Bowman Avenue, 2nd Floor Purchase, New York 10577 914-701-0310 With a Copy to |
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| May 31, 2017 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2017 EQUUS TOTAL RETURN, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 814-00098 76-0345915 (State or Other Jurisdiction (Commission File (IRS Employer |
