EQUUS TOTAL RETURN, INC. (EQS): Nasdaq/NYSE listing notice — Equus Total Return receives NYSE non-compliance notice for share price below $1.00

EQUUS TOTAL RETURN, INC.

NYSE notified Equus on May 15, 2025 that average closing price of common stock was below $1.00 over 30 trading days.
Company has until May 25, 2025 to notify NYSE of intent to cure; six-month cure period available.
Intends to consider a reverse stock split; authorization proposed at annual meeting scheduled for June 26, 2025.
Notice does not cause immediate delisting; shares continue to trade on NYSE under existing conditions.
Company states the deficiency is not expected to impact business operations or SEC reporting obligations.

item 3.01 item 7.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.95

EQUUS TOTAL RETURN, INC. received a nyse deficiency notice notice regarding minimum bid price (rules 802.01C).

Exchange: nyse
Notice: deficiency notice
Deficiency: minimum bid price
Rules: 802.01C

Exact text from the filing

May 15, 2025, Equus Total Return, Inc. (the “Company”) was notified by the New York Stock Exchange (the “NYSE”) that it is not in compliance with Section 802.01C of the NYSE Listed Company Manual because the average closing price of the Company’s Common Stock (the “Common Stock”) was less than $1.00 over a consecutive 30 trading-day period. The notice does not result in the immediate delisting of the Company’s Common Stock from the NYSE. The Company plans to notify the NYSE by May 25, 2025 that it intends to cure the average closing stock price deficiency and to return to compliance with the N

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8 listing & compliance notices filed in the last 30 days. Browse all listing & compliance notices →

EQUUS TOTAL RETURN, INC. filing history →

Source: SEC EDGAR

accession 0001712543-25-000039

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