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April 26, 2015 10:36 PM ET

Capital Markets

Company Overview of Equus Total Return, Inc.

Company Overview

Equus Total Return, Inc. operates as a closed-end business development company managed by Moore, Clayton Capital Advisors Inc. It invests in equity and equity-oriented securities issued by privately owned companies. The fund invests in small to mid sized companies and acts as a lead investor. It invests in companies engaged in the alternative energy, real estate, healthcare, education, e-learning, leisure and entertainment, and foreign investment sector in the United States, China, India, and Europe. The fund's investments include common and preferred stock, debt convertible into common or preferred stock, debt combined with warrants and options, and other rights to acquire common or preferr...

Wortham Tower

13th Floor

2727 Allen Parkway

Houston, TX 77019-2120

United States

Founded in 1986





Key Executives for Equus Total Return, Inc.

Chief Executive Officer and Director
Age: 62
Chief Financial Officer, Principal Accounting Officer, Senior Vice President and Treasurer
Age: 66
Vice President and Vice President of MCCA
Age: 58
Vice Chairman, Co-Chairman of MCCA and Co-Chairman of Moore Clayton & Co Inc
Age: 50
Chief Compliance Officer, Secretary, Director, Director of Moore Clayton & Co Inc and Director of MCCA
Age: 46
Compensation as of Fiscal Year 2014.

Equus Total Return, Inc. Key Developments

Equus Total Return, Inc. Replaces UHY LLP with BDO USA, LLP as Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2014

UHY LLP (UHY) served as Equus Total Return, Inc's independent registered public accounting firm to audit the financial statements of the Fund for the fiscal year ended December 31, 2013. The audit committee of the board of directors selected UHY to serve as the fund's independent registered public accounting firm for the fiscal year ending December 31, 2014. On December 1, 2014 UHY informed the Fund that effective on that date, its Texas practice had been acquired by BDO USA, LLP. As a result of this transaction, effective December 1, 2014, UHY resigned as the Fund's independent registered public accounting firm for the fiscal year ending December 31, 2014. The audit reports of UHY LLP on the consolidated financial statements of the fund as of and for the years ended December 31, 2013 and December 31, 2012 did not contain any adverse opinion or disclaimer of opinion, and were not qualified or modified as to uncertainty, audit scope, or accounting principles. As a result of the UHY transaction, the Audit Committee appointed BDO USA, LLP as the successor independent registered public accounting firm, effective December 4, 2014. Prior to such appointment, the Fund had not consulted with BDO with respect to 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 consolidated financial statements, or any other matter or reportable events listed in Items 304(a)(2)(i) and (ii) of Regulation S-K.

Equus Total Return, Inc. Reports Earnings Results for the Third Quarter and Nine Months Ended September 30, 2014

Equus Total Return, Inc. reported earnings results for the third quarter and nine months ended September 30, 2014. For the third quarter, the company reported net decrease in net assets resulting from operations of $437,000, or $0.03 loss per share, compared to a net decrease in net assets resulting from operations of $794,000, or $0.08 loss per share, for the same quarter ended September 30, 2013. Total investment income for the third quarter ended September 30, 2014 was $109,000, compared to $34,000 for the same quarter ended September 30, 2013. For the nine months, the company reported net increase in net assets resulting from operations of $36,000, or $0 per share, compared to a net decrease in net assets resulting from operations of $3.50 million, or $0.33 loss per share, for the same period ended September 30, 2013. Total investment income for the nine months ended September 30, 2014 was $429,000, compared to a total investment loss of $47,000 for the same period ended September 30, 2013.

Equus Total Return, Inc. Appoints Robert L. Knauss as Chairman; Amends and Change by Laws to Eliminate Title of Executive Chairman

On June 24, 2014, Equus Total Return, Inc. and its Board of Directors appointed Robert L. Knauss, an independent director, as its Chairman, effective immediately. Mr. Knauss has served as an independent director of the fund since 1991 and as the Chairman of the fund's independent directors since June 2010. On June 24, 2014, the Board amended and restated its Bylaws to eliminate the title of executive chairman from the list of officers that may be appointed by the Board.

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