{"version":"company-facts.v1","source":"https://secwatch.observer","generated_at":"2026-07-15T06:16:50.575611+00:00","company":{"ticker":"EQS","cik":878932,"company_name":"EQUUS TOTAL RETURN, INC."},"pagination":{"limit":100,"returned":11,"next_cursor":null},"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer","counterparties":{"contract_counterparty":[{"display_name":"Pro Energy I LLC","detail":"asset_purchase","count":1,"first_seen":"2023-05-25T23:59:59+00:00","last_seen":"2023-05-25T23:59:59+00:00","evidence_fact_ids":[148010]}],"ma_counterparty":[{"display_name":"North American Energy Opportunities Corp.","detail":"disposition","count":1,"first_seen":"2025-03-10T23:59:59+00:00","last_seen":"2025-03-10T23:59:59+00:00","evidence_fact_ids":[94017]}]},"facts":[{"fact_type":"auditor_change","fact_key":"19cac6d6d0b54f6229ec555a28f16bb3a0adcdd1","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2026-05-12T20:00:01+00:00","payload":{"action":"engagement","auditor_name":"PKF O’Connor Davies, LLP","disagreement_text":null,"effective_date":"2026-05-11","item_codes_triggered":["4.01"],"non_reliance_signal":"none","successor_auditor_name":null},"claim":"EQUUS TOTAL RETURN, INC. engaged PKF O’Connor Davies, LLP as its auditor.","evidence_excerpt":"On May 11, 2026, Equus Total Return, Inc. (“Equus” or the “Fund”) engaged PKF O’Connor Davies, LLP (“PKF”) as its independent accountant.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-26-000034","anchor_url":"https://secwatch.observer/filing/0001712543-26-000034#claim-19cac6d6d0b54f6229ec555a28f16bb3a0adcdd1","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254326000034/0001712543-26-000034-index.htm"},{"fact_type":"auditor_change","fact_key":"d2e46c32fe03437fa1a1d4c8bcbbdda44d12b354","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2026-05-04T23:59:59+00:00","payload":{"action":"resignation","auditor_name":"BDO USA, P.C.","disagreement_text":null,"effective_date":"2026-04-29","item_codes_triggered":["4.01"],"non_reliance_signal":"none","successor_auditor_name":null},"claim":"BDO USA, P.C. resigned as auditor of EQUUS TOTAL RETURN, INC..","evidence_excerpt":"On April 29, 2026, Equus Total Return, Inc. (“Equus” or the “Fund”) was notified by BDO USA, P.C. (“BDO”), of BDO’s resignation as the Fund’s independent auditors, effective as of such date.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-26-000032","anchor_url":"https://secwatch.observer/filing/0001712543-26-000032#claim-d2e46c32fe03437fa1a1d4c8bcbbdda44d12b354","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254326000032/0001712543-26-000032-index.htm"},{"fact_type":"exchange_compliance_notice","fact_key":"9632d36215c67b7ebf3afc82a00259a4d439a745","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2025-05-20T23:59:59+00:00","payload":{"company_response":null,"compliance_status":"deficient","cure_deadline":null,"deficiency_type":"minimum_bid_price","delisting_effective_date":null,"exchange":"nyse","hearing_date":null,"immediate_listing_effect":null,"minimum_requirement":null,"notice_date":"2025-05-15","notice_type":"deficiency_notice","plan_due_date":null,"raw_rule_text":"Section 802.01C of the NYSE Listed Company Manual","reported_value":null,"rule_numbers":["802.01C"],"rules_cited_in_text":true},"claim":"EQUUS TOTAL RETURN, INC. received a nyse deficiency notice notice regarding minimum bid price (rules 802.01C).","evidence_excerpt":"May 15, 2025, Equus Total Return, Inc. (the “Company”)\nwas notified by the New York Stock Exchange (the “NYSE”) that it is not in compliance with Section 802.01C of the NYSE Listed\nCompany Manual because the average closing price of the Company’s Common Stock (the “Common Stock”) was less than $1.00\nover a consecutive 30 trading-day period. The notice does not result in the immediate delisting of the Company’s Common Stock from\nthe NYSE. The Company plans to notify the NYSE by May 25, 2025\nthat it intends to cure the average closing stock price deficiency and to return to compliance with the N","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001712543-25-000039","anchor_url":"https://secwatch.observer/filing/0001712543-25-000039#claim-9632d36215c67b7ebf3afc82a00259a4d439a745","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254325000039/0001712543-25-000039-index.htm"},{"fact_type":"ma_transaction","fact_key":"ef02eb02b55ad425e3a625927ba008ca9317743c","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2025-03-10T23:59:59+00:00","payload":{"action":"disposition","closing_date":"2025-03-04","consideration_text":"$1.25 million in cash and 27,500 shares of preferred stock, redeemable within 6 months of the date of issuance at $100.00 per share","counterparty":"North American Energy Opportunities Corp.","effective_date":"2025-03-04","item_codes_triggered":["2.01"]},"claim":"EQUUS TOTAL RETURN, INC. completed a disposition involving North American Energy Opportunities Corp. for $1.25 million in cash and 27,500 shares of preferred stock, redeemable within 6 months of the date of issuance at $100.00 per share (closed 2025-03-04).","evidence_excerpt":"in Equus Energy, LLC to North American Energy Opportunities Corp.,\na developer of upstream oil and gas assets (“NAEOC”). The consideration provided by NAEOC consisted of $1.25 million in cash\nand 27,500 shares of preferred stock, redeemable within 6 months of the date of issuance at $100.00 per share based upon fulfillment of\ncertain conditions. The Fund","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-25-000012","anchor_url":"https://secwatch.observer/filing/0001712543-25-000012#claim-ef02eb02b55ad425e3a625927ba008ca9317743c","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254325000012/0001712543-25-000012-index.htm"},{"fact_type":"executive_change","fact_key":"66956489dd","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2025-01-06T23:59:59+00:00","payload":{"action":"appointed","action_category":"appointment","departure_tone":"not_applicable","effective_date":"2024-12-30","interim":false,"role":"independent director","role_category":"director","successor_name":"Robert L. Knauss","successor_named":true},"claim":"John J. May was appointed as independent director at EQUUS TOTAL RETURN, INC..","evidence_excerpt":"Also on December 30, 2024, the Board appointed John J. May as an independent director to fill the vacancy on the Board resulting from the recent passing of Robert L. Knauss, to serve until the next annual meeting of the Company’s shareholders.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001712543-25-000002","anchor_url":"https://secwatch.observer/filing/0001712543-25-000002#claim-66956489dd","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254325000002/0001712543-25-000002-index.htm"},{"fact_type":"executive_change","fact_key":"8d77904917","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2025-01-06T23:59:59+00:00","payload":{"action":"appointed","action_category":"appointment","departure_tone":"not_applicable","effective_date":"2024-12-30","interim":false,"role":"Chairman","role_category":"chair","successor_name":null,"successor_named":false},"claim":"Fraser Atkinson was appointed as Chairman at EQUUS TOTAL RETURN, INC..","evidence_excerpt":"On December 30, 2024, the Board of Directors (“Board”) of Equus Total Return, Inc. (the “Company”) appointed Fraser Atkinson as its independent Chairman.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001712543-25-000002","anchor_url":"https://secwatch.observer/filing/0001712543-25-000002#claim-8d77904917","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254325000002/0001712543-25-000002-index.htm"},{"fact_type":"executive_change","fact_key":"8e17f83d1b","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2024-10-22T23:59:59+00:00","payload":{"action":"died","action_category":"departure","departure_tone":"abrupt","effective_date":"2024-10-16","interim":false,"role":"Chairman of the Board","role_category":"chair","successor_name":null,"successor_named":false},"claim":"Robert L. Knauss departed as Chairman of the Board at EQUUS TOTAL RETURN, INC..","evidence_excerpt":"On October 17, 2024, Equus Total Return, Inc. (the “Company”) was informed of the unexpected death of Chairman Robert L. Knauss, who passed away on October 16, 2024.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001712543-24-000063","anchor_url":"https://secwatch.observer/filing/0001712543-24-000063#claim-8e17f83d1b","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254324000063/0001712543-24-000063-index.htm"},{"fact_type":"shareholder_vote","fact_key":"0d6b4e0dc79013e573f4cbc0fdfd9ce50a99ecd6","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2023-05-26T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-25","outcome":"passed","proposal_text":"Non-binding advisory approval of executive compensation for 2022","proposal_type":"say_on_pay","results":[{"broker_non_votes":null,"subject":null,"votes_abstain":"729,595","votes_against":"2,650,071","votes_for":"7,514,443","votes_withheld":null}]},"claim":"EQUUS TOTAL RETURN, INC. shareholders approved Non-binding advisory approval of executive compensation for 2022 at the 2023-05-25 meeting.","evidence_excerpt":"Proposal 3 (non-binding approval of executive compensation in 2022) : For Against Abstained 7,514,443 2,650,071 729,595 Brokers did not have discretionary voting authority on Proposals 1 and 3.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-23-000038","anchor_url":"https://secwatch.observer/filing/0001712543-23-000038#claim-0d6b4e0dc79013e573f4cbc0fdfd9ce50a99ecd6","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254323000038/0001712543-23-000038-index.htm"},{"fact_type":"shareholder_vote","fact_key":"b2af1f9f1d068882899d54b8703e6b8995d1800b","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2023-05-26T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-25","outcome":"passed","proposal_text":"Ratification of the appointment of BDO USA LLP as independent accountants for fiscal year 2023","proposal_type":"auditor_ratification","results":[{"broker_non_votes":null,"subject":null,"votes_abstain":"380,293","votes_against":"51,553","votes_for":"11,676,554","votes_withheld":null}]},"claim":"EQUUS TOTAL RETURN, INC. shareholders approved Ratification of the appointment of BDO USA LLP as independent accountants for fiscal year 2023 at the 2023-05-25 meeting.","evidence_excerpt":"Proposal 2 (ratification of auditors for fiscal 2023) : For Against Abstained 11,676,554 51,553 380,293","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-23-000038","anchor_url":"https://secwatch.observer/filing/0001712543-23-000038#claim-b2af1f9f1d068882899d54b8703e6b8995d1800b","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254323000038/0001712543-23-000038-index.htm"},{"fact_type":"shareholder_vote","fact_key":"bf50888603a3bc3ef7a9335b72267492c4059684","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2023-05-26T23:59:59+00:00","payload":{"item_codes_triggered":["5.07"],"meeting_date":"2023-05-25","outcome":"passed","proposal_text":"Election of five director nominees","proposal_type":"director_election","results":[{"broker_non_votes":null,"subject":"Fraser Atkinson","votes_abstain":null,"votes_against":null,"votes_for":"8,525,564","votes_withheld":"2,368,545"},{"broker_non_votes":null,"subject":"Kenneth I. 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Knauss 8,485,593 2,408,516 There were no votes against or abstained with respect to any director nominee.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-23-000038","anchor_url":"https://secwatch.observer/filing/0001712543-23-000038#claim-bf50888603a3bc3ef7a9335b72267492c4059684","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254323000038/0001712543-23-000038-index.htm"},{"fact_type":"material_agreement","fact_key":"05c5e47b4dee3c10ec23a7ee02de53c5f09f892d","cik":878932,"ticker":"EQS","company_name":"EQUUS TOTAL RETURN, INC.","filed_at":"2023-05-25T23:59:59+00:00","payload":{"action":"entry","agreement_name":"Purchase and Sale Agreement","agreement_type":"asset_purchase","counterparty":"Pro Energy I LLC","effective_date":"2023-05-22","item_codes_triggered":["1.01"],"value_text":null},"claim":"EQUUS TOTAL RETURN, INC. entered into Purchase and Sale Agreement with Pro Energy I LLC (effective 2023-05-22).","evidence_excerpt":"On May 22, 2023, Morgan E&P, LLC (“Morgan”), a wholly-owned subsidiary of Equus Total Return, Inc. (“Equus” or the “Fund”) entered into a material definitive Purchase and Sale Agreement (“Purchase Agreement”) with Pro Energy I LLC (“Pro Energy”) to acquire certain oil and gas acreage and mineral rights in the Williston Basin of North Dakota.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001712543-23-000036","anchor_url":"https://secwatch.observer/filing/0001712543-23-000036#claim-05c5e47b4dee3c10ec23a7ee02de53c5f09f892d","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/878932/000171254323000036/0001712543-23-000036-index.htm"}]}