Current Report Filing (8-k)
May 23 2018 - 3:30PM
Edgar (US Regulatory)
___________________________________________
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
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814-00098
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76-0345915
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(State or Other Jurisdiction
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(Commission File
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(IRS Employer
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Of Incorporation)
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Number)
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Identification No.)
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700 Louisiana Street, 48
th
Floor
Houston, Texas
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77020
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant’s telephone number, including
area code: (713) 529-0900
N/A
(Former Name or Former Address, if Changed Since
Last Report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
[ ] Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b))
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
Item 5.07 Submission of Matters to a Vote of Security Holders.
On May 21, 2018, holders of a majority of the
outstanding common stock of Equus Total Return, Inc. (the “Company”) approved the Company’s cessation as a business
development company (“BDC”) under the Investment Company Act of 1940 and authorized the Company’s Board of Directors
(the “Board”) to cause the Company’s withdrawal of its election to be classified as a BDC, each effective as
of a date designated by the Board and the Company’s Chief Executive Officer, but in no event later than August 31, 2018.
Such actions will become effective twenty days after mailing of a definitive information statement to shareholders of the Company
in accordance with the requirements of the Securities Exchange Act of 1934.
Item 8.01 Other Events.
On May 23, 2018, the Company issued a press
release announcing the authorization given to the Board by the shareholders as described in Item 5.07 above. The text of the press
release is included as Exhibit 99.1 to this Current Report and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
99.1
Press release issued on May 23, 2018 by Equus Total Return, Inc.
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Equus Total Return, Inc.
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Date: May 23, 2018
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By:
/s/ Kenneth I. Denos
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Name: Kenneth I. Denos
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Title: Secretary
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