secwatch.observer — SEC 8-K summary
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Issuer:     EQUUS TOTAL RETURN, INC. (EQS)
CIK:        0000878932
Form:       8-K
Filed at:   2026-10-13T21:00:04+00:00
Accession:  0001712543-26-000051
Event type: regulatory
Sentiment:  negative
Materiality: 0.60
Item codes: 3.01, 7.01, 9.01
LLM model:  deepseek-v4.1-flash:cloud@v2

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

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/878932/000171254326000051/0001712543-26-000051-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/878932/000171254326000051/f8k_equus10092026.htm
  HTML page:      https://secwatch.observer/filing/0001712543-26-000051

License: Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer