Company: EQS
Filing Date: 2025-11-20
Form Type: 10-Q
Source: 0000878932-25-000007
Chunk: 2

Company: EQUUS TOTAL RETURN, INC.
Filing Date: 2025-11-20
Form: 10-Q
Item: Part II, Item 6
Chunk 2
---
d)      2016 Equity Incentive Plan, adopted June 13, 2016. [Incorporated by reference to Exhibit 1 to Registrant’s Definitive Proxy Statement filed on May 5, 2016]  
 ────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────

31. Rule 13a-14(a)/15d-14(a)
Certifications

  Certification by Chief Executive Officer*  

  Certification by Chief Financial Officer*  

32. Rule 1350
Certifications

  Certification by Chief Executive Officer*  

  Certification by Chief Financial Officer*  

97. Policy Relating
to Recovery of Erroneously Awarded Compensation.

  Equus Total Return, Inc. Compensation Recoupment Policy [Incorporated by reference to Exhibit 97.1 to Registrant’s Annual Report on Form 10-K for the year ended December 31, 2023]  
 ───────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────

* Filed herewith

  45  

  Table of Contents  

SIGNATURE

Pursuant to the requirements of Section
13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has caused this report to be signed by the undersigned, thereunto duly
authorized.

Dated: November 20, 2025

  EQUUS TOTAL RETURN, INC.  
  /s/ John A. Hardy         
  John A. Hardy             
  Chief Executive Officer   

  46