Company: EQS
Filing Date: 2025-05-19
Form Type: 10-Q
Source: 0001712543-25-000034
Chunk: 3

Company: EQUUS TOTAL RETURN, INC.
Filing Date: 2025-05-19
Form: 10-Q
Item: Part II, Item 6
Chunk 3
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Item 6. Exhibits

3. Articles
of Incorporation or Bylaws

  (a)      Restated Certificate of Incorporation of the Fund. [Incorporated by reference to Exhibit 3(a) to Registrant’s Current Report on Form 8-K filed on January 21, 2021]  
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  (b)      Certificate of Merger, dated June 30, 1993, between the Fund and Equus Investments Incorporated [Incorporated by reference to Exhibit 3(b) to Registrant’s Annual Report on form 10-K for the yea...  
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  (c)      Amended and Restated Bylaws of the Fund [Incorporated by reference to Exhibit 3(c) to Registrant’s Current Report on Form 8-K filed on June 30, 2014]  
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10. Material
Contracts

  (a)      Safekeeping Agreement between the Fund and Amegy Bank, dated August 16, 2008. [Incorporated by reference to Exhibit 10(c) to Registrant’s Annual Report on Form 10-K for the year ended December ...  
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  (b)      Form of Indemnification Agreement between the Fund and its directors and certain officers. [Incorporated by reference to Exhibit 10(d) to Registrant’s Annual Report on Form 10-K for the year en...  
 ─────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────

  (c)      Code of Ethics of the Fund (Rule 17j-1). [Incorporated by reference to Exhibit 10(f) to Registrant’s Annual Report on Form 10-K for the year ended December 31, 2009]  
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  (