Attached files
| file | filename |
|---|---|
| EX-99.1 - PRESS RELEASE - EQUUS TOTAL RETURN, INC. | ex99_1pressrelease.htm |
___________________________________________
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 14, 2015
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 |
77020 |
| (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 May 14, 2015 (“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 16, 2015: (i) to elect nine 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, 2015 (“Proposal 2”), and (iii) to approve on a non-binding advisory basis, the compensation paid to the Fund’s named executive officers in 2014 (“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 | 8,352,522 | 2,567,841 | 0 | |||||||||
| Alessandro Benedetti | 8,369,689 | 2,550,674 | 0 | |||||||||
| Richard F. Bergner | 8,347,802 | 2,572,561 | 0 | |||||||||
| Kenneth I. Denos | 8,375,554 | 2,544,809 | 0 | |||||||||
| Gregory J. Flanagan | 8,347,209 | 2,573,154 | 0 | |||||||||
| Henry W. Hankinson | 8,357,344 | 2,563,019 | 0 | |||||||||
| John A. Hardy | 8,377,346 | 2,543,017 | 0 | |||||||||
| Robert L. Knauss | 6,354,515 | 4,565,848 | 0 | |||||||||
| Bertrand des Pallieres | 8,374,159 | 2,546,204 | 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 |
| 9,662,946 | 1,057,035 | 397,802 | 0 |
Proposal 3 (non-binding approval of executive compensation in 2014):
| For | Against | Abstained | Broker Non-Votes |
| 7,177,599 | 2,019,884 | 91,579 | 0 |
Brokers did not have discretionary voting authority on Proposal 2.
Item 8.01 Other Events.
On May 19, 2015, 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 May 19, 2015 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 19, 2015 | By: /s/ Kenneth I. Denos | |
| Name: Kenneth I. Denos | ||
| Title: Secretary |