Company: EQS
Filing Date: 2025-04-23
Form Type: PRE 14A
Source: 0001712543-25-000025
Chunk: 63

Company: EQUUS TOTAL RETURN, INC.
Filing Date: 2025-04-23
Form: PRE 14A
Chunk 63
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4 as filed with the SEC via EDGAR
on April 10, 2025.

| 49 |

Communications with the Board. Interested parties
who wish to communicate directly with the Board, or specified individual directors may do so by writing to the Board or individual directors
in care of the Chairman, Equus Total Return, Inc., 700 Louisiana Street, 41 Floor, Houston, TX 77002. At the direction of
the Board, all mail received will be opened and screened for security purposes. The mail will then be logged in. All mail, other than
trivial or obscene items, will be forwarded. Trivial items will be delivered to the directors at the next scheduled Board meeting. Mail
addressed to a particular director will be forwarded or delivered to that director. Mail addressed to “Independent Directors,”
“Outside Directors” or “Non-Management Directors” will be forwarded or delivered to the Chairman of the Committee
of Independent Directors. Mail addressed to the “Board of Directors” will be forwarded or delivered to the Chairman of the
Board. Concerns relating to accounting, internal controls, or auditing matters are handled in accordance with procedures established by
the Audit Committee with respect to such matters.

Corporate Governance. The Company is a Delaware
corporation subject to the provisions of the Delaware General Corporation Law (“DGCL”). The Company’s day-to-day operations
and requirements as to the place and time, conduct, and voting, at a meeting of stockholders are governed by the Company’s certificate
of incorporation and by-laws, the provisions of the DGCL, the provisions of the 1940 Act and NYSE rules. The Company has adopted a code
of business conduct and ethics applicable to our Directors, officers (including our principal executive officer, principal financial officer
and controller) and employees. Our code of business conduct and ethics meets NYSE listing standard requirements and the requirements of
Section 406 of the Sarbanes-Oxley Act of 2002. A copy of our certificate of incorporation and by-laws, corporate governance guidelines,
and the charters of the Audit, Compensation, and Nominating and Corporate Governance Committees may be obtained by writing to the Secretary,
Equus Total Return Inc., 700 Louisiana Street, 41 Floor, Houston, TX 77002. Our code of business conduct and ethics, corporate
governance guidelines and committee charters are also available by accessing the Company’s website at www.equuscap.com. (Information