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EQUUS TOTAL RETURN, INC. FILES (8-K) Disclosing Submission of Matters to a Vote of Security Holders, Other Events

June 26, 2014



Item 5.07 Submission of Matters to a Vote of Security Holders.

At the Annual Meeting of Stockholders held on June 24, 2014 ("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 30, 2014: (i) to elect nine director nominees, each for a term of one year ("Proposal 1"), (ii) to ratify the appointment of UHY LLP as the Fund's independent auditor for the fiscal year ended December 31, 2014 ("Proposal 2"), and (iii) to approve on a non-binding advisory basis, the compensation paid to the Fund's named executive officers in 2013 ("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 5,426,685 1,782,486 0 Alessandro Benedetti 2,464,050 4,745,121 0 Richard F. Bergner 5,396,747 1,812,424 0 Kenneth I. Denos 5,417,953 1,791,218 0 Gregory J. Flanagan 5,425,430 1,783,741 0 Henry W. Hankinson 5,400,096 1,809,075 0 John A. Hardy 5,426,951 1,782,220 0 Robert L. Knauss 5,397,057 1,812,114 0 Bertrand des Pallieres 2,443,751 4,765,420 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 7,092,589 841,712 977,453 0



Proposal 3 (non-binding approval of executive compensation in 2013):

For Against Abstained Broker Non-Votes 5,270,268 1,796,517 144,120 0



Brokers did not have discretionary voting authority on Proposal 2.

Item 8.01 Other Events.



On June 25, 2014, 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.


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Source: Edgar Glimpses


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