Equus Total Return Files 8-K on Shareholder Vote

TL;DR

Equus Total Return held a shareholder vote on June 20th, details to follow.

AI Summary

Equus Total Return, Inc. filed an 8-K on June 28, 2024, reporting on matters submitted to a vote of security holders as of June 20, 2024. The filing does not contain specific details about the vote's outcome or the proposals presented.

Why It Matters

This filing indicates a shareholder vote occurred, which could signal changes in corporate governance or strategic direction for Equus Total Return, Inc.

Risk Assessment

Risk Level: low — The filing is a procedural notification of a shareholder vote without immediate financial implications or disclosed risks.

Key Players & Entities

• EQUUS TOTAL RETURN, INC. (company) — Registrant
• June 20, 2024 (date) — Date of earliest event reported
• June 28, 2024 (date) — Date of report

FAQ

Filing Documents

• f8k_equus06202024.htm (8-K) — 21KB
• 0001712543-24-000047.txt ( ) — 22KB

07 Submission of Matters to a Vote of Security Holders

Item 5.07 Submission of Matters to a Vote of Security Holders. At the Annual Meeting of Stockholders held on June 20, 2024 (“Annual Meeting”), the stockholders of Equus Total Return, Inc. (the “Company”) voted on three proposals which are described in detail in the Company’s Proxy Statement filed with the Securities and Exchange Commission on April 29, 2024: (i) to elect five director nominees, each for a term of one year (“Proposal 1”), (ii) to ratify the appointment of BDO USA, P.C. as the Company’s independent accountants for the fiscal year ended December 31, 2024 (“Proposal 2”), and (iii) to approve on a non-binding advisory basis, the compensation paid to the Company’s named executive officers in 2023 (“Proposal 3”). The number of shares present at the Annual Meeting in person or by proxy was 10,436,971, or 76.82% of shares outstanding. 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 Withheld Fraser Atkinson 8,506,296 966,534 Kenneth I. Denos 7,646,719 1,826,111 Henry W. Hankinson 8,526,290 946,540 John A. Hardy 8,506,296 966,534 Robert L. Knauss 8,490,428 982,402 There were no votes against or abstained with respect to any director nominee. Proposal 2 (ratification of auditors for fiscal 2024) : For Against Abstained 9,950,993 293,098 192,880 Proposal 3 (non-binding approval of executive compensation in 2022) : For Against Abstained 8,370,676 1,086,746 15,408 Brokers did not have discretionary voting authority on Proposals 1 and 3.

SIGNATURES

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 28, 2024 By: /s/ Kenneth I. Denos Name:Kenneth I. Denos Title: Secretary

View Full Filing

View this 8-K filing on SEC EDGAR