Company: EQS
Filing Date: 2025-04-10
Form Type: 10-K
Source: 0001712543-25-000016
Chunk: 12

Company: EQUUS TOTAL RETURN, INC.
Filing Date: 2025-04-10
Form: 10-K
Item: Item 1
Chunk 12
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 to the extent permitted under the 1940 Act and are subject to the restrictions imposed on self- custodians
by the 1940 Act and the rules and regulations thereunder. We have also entered into an agreement with Amegy Bank with respect to the safekeeping
of our securities. The principal business office of Amegy Bank is 1717 West Loop South, Houston, Texas 77027.

Transfer and DisbursingAgent

We employ
Equiniti Group as our transfer agent to record transfers of our shares, maintain proxy records and to process distributions. The principal
business office of our transfer agent is 6201 15th Avenue, 2nd Floor, Brooklyn, NY 11219.

Certifications

In July
2024, pursuant to Section 303A.12(a) of the NYSE Listed Company Manual, we submitted to the NYSE an unqualified certification of our Chief
Executive Officer. In addition, certifications by our Chief Executive Officer and Chief Financial Officer have been filed as exhibits
to this annual report on Form 10-K as required by the Securities Exchange Act of 1934, as amended, and the Sarbanes-Oxley Act of 2002.

Forward-Looking Statements

All statements
contained herein that are not historical facts including, but not limited to, statements regarding anticipated activity are “forward-looking
statements” within the meaning of the federal securities laws, involve a number of risks and uncertainties, and are based on the
beliefs and assumptions of Management, based on information currently available to Management. Actual results may differ materially. In
some cases, readers can identify forward- looking statements by words such as “may,” “will,” “should,”
“expect,” “objective,” “plan,” “intend,” “anticipate,” “believe,”
“ Management believes,” “estimate,” “predict,” “project,” “potential,” “forecast,”
“continue,” “strategy,” or “position” or the negative of such terms or other variations of them or
by comparable terminology. In particular, statements, express or implied, concerning future actions, conditions, or events, future operating
results, or the ability to generate sales, income, or cash flow are forward-looking statements.

Among the
factors that could cause actual results to differ materially are the following: (i) changes in the economic conditions in which we operate,
including changes related to the evolving impact of the coronavirus, which might negatively impacting our financial resources