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): January 7, 2016

 

 

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.)

 

700 Louisiana Street, 48th Floor Houston, Texas	77002
(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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

Effective January 7, 2016, Gregory J. Flanagan resigned as a member of the Board of Directors of Equus Total Return, Inc. (the “Fund”). Mr. Flanagan was appointed to the Board of Directors of the Fund in 1992.

 

 

Item 8.01 Other Events.

 

On January 12, 2016, the Fund issued a press release announcing the resignation of Mr. Flanagan from the Fund’s Board of Directors. 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 January 12, 2016 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:  January 12, 2016		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 DEPARTURE OF LONGTIME DIRECTOR

 

HOUSTON, TX – January 12, 2016 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) announced the resignation of Gregory J. Flanagan from the Fund’s Board of Directors. Mr. Flanagan had been a member of the Equus Board since 1992, and was, at the time of his resignation, serving as a member of the Fund’s committee of independent directors and as a member of its Audit Committee. Mr. Flanagan had served on various committees of the Equus Board during his tenure, and had also served as Chairman of the Board from May 2008 to February 2010, as well as CEO and President of the Fund from July 2009 to February 2010.

 

Commenting on the resignation of Mr. Flanagan, Robert L. Knauss, the Equus Chairman, stated: “We want to thank Greg Flanagan for many years of distinguished service as a valued member of the Equus Board and in faithfully serving the Fund and its shareholders in a variety of important roles throughout the Fund’s history. We wish him the best in his future endeavors.”

 

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 performance of the Fund, including our ability to achieve our expected financial and business objectives, our ability to execute our reorganization and complete the transactions contemplated thereby, and the other 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. Except as required by law, 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.