EQS Equus Total Return Inc

 

___________________________________________

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 24, 2014

 

 

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
Of Incorporation)	Number)	Identification No.)

 

Eight Greenway Plaza, Suite 930, Houston, Texas	77046
(Address of Principal Executive Offices)	(Zip Code)

 

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.

 

At the Annual Meeting of Stockholders held on June 24, 2014 (“Annual Meeting”), the stockholders of Equus Total Return, Inc. (“Equus” or the “Fund”) voted on three proposals, which are described in detail in the Fund’s Proxy Statement filed with the Securities and Exchange Commission on April 30, 2014: (i) to elect nine director nominees, each for a term of one year (“Proposal 1”), (ii) to ratify the appointment of UHY LLP as the Fund’s independent auditor for the fiscal year ended December 31, 2014 (“Proposal 2”), and (iii) to approve on a non-binding advisory basis, the compensation paid to the Fund’s named executive officers in 2013 (“Proposal 3”).

 

A voting report was produced by a representative of Georgeson, Inc., serving as Inspector of Elections for the Annual Meeting, certifying the following results:

 

Proposal 1 (election of directors):

 

Board of Directors Nominees	For	Withheld	Broker Non-Votes
Fraser Atkinson	5,426,685	1,782,486	0
Alessandro Benedetti	2,464,050	4,745,121	0
Richard F. Bergner	5,396,747	1,812,424	0
Kenneth I. Denos	5,417,953	1,791,218	0
Gregory J. Flanagan	5,425,430	1,783,741	0
Henry W. Hankinson	5,400,096	1,809,075	0
John A. Hardy	5,426,951	1,782,220	0
Robert L. Knauss	5,397,057	1,812,114	0
Bertrand des Pallieres	2,443,751	4,765,420	0

 

 

There were no votes against or abstained with respect to any director nominee.

 

Proposal 2 (ratification of auditors):

 

For	Against	Abstained	Broker Non-Votes
7,092,589	841,712	977,453	0

 

 

 

Proposal 3 (non-binding approval of executive compensation in 2013):

 

For	Against	Abstained	Broker Non-Votes
5,270,268	1,796,517	144,120	0

 

 

Brokers did not have discretionary voting authority on Proposal 2.

 

 

 

Item 8.01 Other Events.

 

On June 25, 2014, the Fund issued a press release announcing the results of the Annual Meeting 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 June 25, 2014 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.

 

		Equus Total Return, Inc.
Date:  June 25, 2014
		By:  /s/ Kenneth I. Denos
		Name: Kenneth I. Denos
		Title: Secretary

 

 

Exhibit 99.1

 

Contact:

Patricia Baronowski
Pristine Advisers, LLC
(631) 756-2486

 

EQUUS ANNOUNCES RESULTS OF

ANNUAL SHAREHOLDER MEETING

 

 

HOUSTON, TX – June 25, 2014 – 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 Tuesday, June 24, 2014. The purpose of the meeting was to: (i) elect nine director nominees, each for a term of one year; (ii) ratify the appointment of UHY LLP as the Fund’s independent auditor for the fiscal year ended December 31, 2014; and (iii) approve on a non-binding advisory basis, the compensation paid to the Fund’s named executive officers in 2013.

 

Holders of 70.32% of the Fund’s outstanding shares were present in person or represented by proxy at the Annual Meeting and approved the election of the nine director nominees, the appointment of UHY for fiscal year 2014, and the compensation paid to the Fund’s named executive officers in 2013. The specific voting results of the Annual Meeting are set forth in the Fund’s Current Report on Form 8-K filed today with the Securities and Exchange Commission.

 

About Equus

The Fund is a business development company that trades as a closed-end fund on the New York Stock Exchange, under the symbol "EQS". Additional information on the Fund may be obtained from the Fund’s website at www.equuscap.com.

 

This press release may contain certain forward-looking statements regarding future circumstances. These forward-looking statements are based upon the Fund’s current expectations and assumptions and are subject to various risks and uncertainties that could cause actual results to differ materially from those contemplated in such forward-looking statements including, in particular, the risks and uncertainties described in the Fund’s filings with the SEC. Actual results, events, and performance may differ. Readers are cautioned not to place undue reliance on these forward-looking statements, which speak only as to the date hereof. The Fund undertakes no obligation to release publicly any revisions to these forward-looking statements that may be made to reflect events or circumstances after the date hereof or to reflect the occurrence of unanticipated events. The inclusion of any statement in this release does not constitute an admission by the Fund or any other person that the events or circumstances described in such statements are material.