| 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] |
| (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 year ended December 31, 2007] |
| (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] |
| (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 31, 2008] |
| (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 ended December 31, 2011] |
| (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] |
| (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] |
| (e) | 2025 Equity Incentive Plan, adopted March 19, 2026. [Incorporated by reference to Exhibit 1 to Registrant’s Definitive Information Statement filed on April 10, 2026] |
| 31. | Rule 13a-14(a)/15d-14(a) Certifications |
| 1. | Certification by Chief Executive Officer* |
| 2. | Certification by Chief Financial Officer* |
| 32. | Rule 1350 Certifications |
| 1. | Certification by Chief Executive Officer* |
| 2. | Certification by Chief Financial Officer* |
| 97. | Policy Relating to Recovery of Erroneously Awarded Compensation. |
| 1. | 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] |
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: August 14, 2026
EQUUS TOTAL RETURN, INC.
/s/ John A. Hardy
John A. Hardy
Chief Executive Officer
