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AI brief of an SEC Form 8-K · EQUUS TOTAL RETURN, INC. (EQS)

Equus Total Return Receives NYSE Notice on Share Price Below $1.00 Minimum

Negative Impact 4 of 5 legal/regulatory Written later

Equus Total Return, Inc. was notified by the NYSE on October 6, 2026, that its common stock fell below the $1.00 minimum average closing price over 30 consecutive trading days. The notice is a deficiency notice, not a delisting, and the stock continues to trade on the NYSE for now. Shareholders should note the company plans to cure the deficiency within a six-month period, with a reverse stock split among the options it is considering.

Key points

  • NYSE notice dated October 6, 2026 cites Section 802.01C: average closing price below $1.00 over 30 consecutive trading days
  • Company plans to notify the NYSE by October 20, 2026 of its intent to cure the deficiency
  • Cure period is six months from receipt of the notice; a reverse stock split is among the alternatives under consideration
  • Common stock continues to trade on the NYSE; the company said the notice does not affect its operations or SEC reporting

The filing

CompanyEQUUS TOTAL RETURN, INC. (EQS)
Form8-K, current report
Filed with the SECOct 13, 2026, 5:00 PM ET
Accession number0001712543-26-000051

Items reported: 3.01 Delisting / Listing Rule Notice7.01 Regulation FD Disclosure

Read the filing on SEC.gov ↗

Written by AI on Nov 9, 2026, 8:28 AM ET, from this filing only. Written later: this filing was briefed after the fact, when past filings were added to the site, so the brief may be read with hindsight; the filing itself is the record of what was known on October 13, 2026.

Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.