___________________________________________
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 4, 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 May 4, 2016, Alessandro Benedetti resigned as a member of the Board of Directors of Equus Total Return, Inc. (the “Fund”). Mr. Benedetti was appointed to the Board of Directors of the Fund in 2010.
Item 8.01 Other Events.
On May 9, 2016, the Fund issued a press release announcing the resignation of Mr. Benedetti 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 May 9, 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: May 9, 2016 | By: /s/ Kenneth I. Denos | |
Name: Kenneth I. Denos | ||
Title: Secretary |
Contact:
Patricia Baronowski
Pristine Advisers, LLC
(631) 756-2486
EQUUS ANNOUNCES DEPARTURE OF DIRECTOR
HOUSTON, TX – May 9, 2016 – Equus Total Return, Inc. (NYSE: EQS) (the “Fund” or “Equus”) announced the resignation of Alessandro Benedetti from the Fund’s Board of Directors. Mr. Benedetti had been a member of the Equus Board since 2010, and was, at the time of his resignation, serving as a member of the Fund’s committee of independent directors. Mr. Benedetti had also served as the Fund’s Executive Chairman from June 2011 to June 2013.
Robert L. Knauss, the Equus Chairman had the following remarks concerning the resignation of Mr. Benedetti: “We thank Alessandro Benedetti for his important contributions to Equus over the past 6 years and for his service as a director and as Executive Chairman during this period. 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.
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