---
schema_version: "secwatch.filing_event.v1"
accession: "0001712543-26-000051"
form_type: "8-K"
ticker: "EQS"
cik: "0000878932"
company_name: "EQUUS TOTAL RETURN, INC."
filed_at: "2026-10-13T21:00:04+00:00"
generated_at: "2026-10-13T21:02:12.772995+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Equus Total Return gets NYSE notice on sub-$1.00 share price; weighs reverse split

## Summary
- NYSE notified Equus on Oct 6, 2026 of non-compliance with Section 802.01C: 30-trading-day average closing price fell below the $1.00 minimum.
- Equus plans to tell the NYSE by Oct 20, 2026 it will cure the deficiency; the cure window runs six months from the notice.
- Remedies under consideration include a reverse stock split, which would require stockholder approval at a special meeting.
- Common stock (NYSE: EQS) remains listed and trading during the cure period; company says operations and SEC reporting are unaffected.

## SEC filing metadata
- accession: 0001712543-26-000051
- form_type: 8-K
- ticker: EQS
- cik: 0000878932
- company_name: EQUUS TOTAL RETURN, INC.
- filed_at: 2026-10-13T21:00:04+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 3.01, 7.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/878932/000171254326000051/0001712543-26-000051-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/878932/000171254326000051/f8k_equus10092026.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001712543-26-000051
- JSON: https://secwatch.observer/filing/0001712543-26-000051.json
- Plain text: https://secwatch.observer/filing/0001712543-26-000051.txt

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.