Current Report Filing (8-k)
June 16 2016 - 10:38AM
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):
June 13, 2016
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)
|
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 13, 2016 (“Annual Meeting”), the stockholders of Equus Total Return, Inc. (“Equus” or the “Fund”)
voted on four proposals, which are described in detail in the Fund’s definitive Proxy Statement filed with the Securities
and Exchange Commission on May 5, 2016: (i) to elect seven director nominees, each for a term of one year (“Proposal 1”),
(ii) to ratify the appointment of BDO USA, LLP as the Fund’s independent auditor for the fiscal year ended December 31, 2016
(“Proposal 2”), (iii) to approve on a non-binding advisory basis, the compensation paid to the Fund’s named executive
officers in 2015 (“Proposal 3”), and (iv) to approve the Fund’s 2016 Equity Incentive Plan (“Proposal 4”).
A voting report was produced by a representative
of Georgeson, LLC, serving as Inspector of Elections for the Annual Meeting, certifying the following results:
Proposal 1 (election of directors)
:
Board of Directors Nominees
|
For
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Withheld
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Broker Non-Votes
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Fraser Atkinson
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9,007,825
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2,179,668
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0
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Richard F. Bergner
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8,995,152
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2,192,341
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0
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Kenneth I. Denos
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8,990,166
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2,197,327
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0
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Henry W. Hankinson
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8,917,587
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2,269,906
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0
|
John A. Hardy
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8,990,156
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2,197,337
|
0
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Robert L. Knauss
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7,990,039
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3,197,454
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0
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Bertrand des Pallieres
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8,899,282
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2,288,211
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0
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There were no votes against or abstained with
respect to any director nominee.
Proposal 2 (ratification of auditors)
:
For
|
Against
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Abstained
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Broker Non-Votes
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9,279,693
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1,363,458
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558,432
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0
|
Proposal 3 (non-binding approval of executive compensation
in 2015)
:
For
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Against
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Abstained
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Broker Non-Votes
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7,742,242
|
1,544,686
|
275,965
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0
|
Proposal 4 (approval of the Fund’s 2016 Equity Incentive
Plan)
:
For
|
Against
|
Abstained
|
Broker Non-Votes
|
7,762,202
|
1,526,169
|
274,522
|
0
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Brokers did not have discretionary voting authority
on Proposals 2, 3, and 4.
Item 8.01 Other Events.
On June 15, 2016, 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 15, 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.
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Equus Total Return, Inc.
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Date: June 16, 2016
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|
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By:
/s/ Kenneth I. Denos
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|
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Name: Kenneth I. Denos
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|
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Title: Secretary
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