# EDGAR Filing Document

**Accession Number:** 0000878932
**File Stem:** 0001712543-26-000034
**Filing Date:** 2026-5
**Character Count:** 4857
**Document Hash:** abc49d24e51fb5fc2ff8e993b10effc5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001712543-26-000034.hdr.sgml**: 20260512

**ACCESSION NUMBER**: 0001712543-26-000034

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260512

**ITEM INFORMATION**: Changes in Registrant's Certifying Accountant

**FILED AS OF DATE**: 20260512

**DATE AS OF CHANGE**: 20260512

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** EQUUS TOTAL RETURN, INC.
- **CENTRAL INDEX KEY:** 0000878932

**ORGANIZATION NAME:**
- **EIN:** 760345915
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 814-00098
- **FILM NUMBER:** 26968249

**BUSINESS ADDRESS:**
- **STREET 1:** 700 LOUISIANA STREET
- **STREET 2:** 48TH FLOOR
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77002
- **BUSINESS PHONE:** 7135290900

**MAIL ADDRESS:**
- **STREET 1:** 700 LOUISIANA STREET
- **STREET 2:** 48TH FLOOR
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77002

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** EQUUS II INC
- **DATE OF NAME CHANGE:** 19970422

**___________________________________________**

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

**FORM 8-K**

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 11, 2026

**EQUUS TOTAL RETURN, INC.**

(Exact Name of Registrant as Specified in its Charter)

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| | | |
|:---|:---|:---|
| &nbsp;&nbsp;**Delaware** | &nbsp;&nbsp; **814-00098** | &nbsp;&nbsp;**76-0345915** |
| &nbsp;&nbsp;(State or Other Jurisdiction | &nbsp;&nbsp;(Commission File | &nbsp;&nbsp;(IRS Employer |
| &nbsp;&nbsp;Of Incorporation) | &nbsp;&nbsp;Number) | &nbsp;&nbsp;Identification No.) |

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| | |
|:---|:---|
| &nbsp;&nbsp; <br> **700 Louisiana Street, 41<sup>st</sup> Floor Houston, Texas** | &nbsp;&nbsp; <br>**77002** |
| &nbsp;&nbsp;(Address of Principal Executive Offices) | &nbsp;&nbsp;(Zip Code) |

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**Registrant's telephone number, including area code: (713) 529-0900**

**N/A**

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-k filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 4.01** | **Changes in Registrant's Certifying Accountant.** |

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On May 11, 2026, Equus Total Return, Inc. ("Equus" or the "Fund") engaged PKF O'Connor Davies, LLP ("PKF") as its independent accountant. Prior to the engagement of PKF, Equus had not consulted with PKF regarding either:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) the application of accounting principles to a specified transaction, either completed or proposed; or the type of audit opinion that might be rendered on the Fund's financial statements, and neither a written report was provided to the Fund nor oral advice was provided that PKF concluded was an important factor considered by the Fund in reaching a decision as to the accounting, auditing or financial reporting issue; or

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) any matter that was either the subject of a disagreement (as that term is defined in Item 304(a)(1)(iv) of Regulation S-K and the related instructions to Item 304 of Regulation S-K), or a "reportable event" (as that term is defined in Item 304(a)(1)(v) of Regulation S-K).

<u>SIGNATURES</u>

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | |
|:---|:---|
|  | &nbsp;&nbsp;Equus Total Return, Inc. |
| &nbsp;&nbsp;Date: May 12, 2026 | &nbsp;&nbsp;By: <u>/s/ Kenneth I. Denos</u> |
|  | &nbsp;&nbsp;Name: Kenneth I. Denos |
|  | &nbsp;&nbsp;Title: Secretary |

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