0001144204-13-048512.txt : 20130829 0001144204-13-048512.hdr.sgml : 20130829 20130829170251 ACCESSION NUMBER: 0001144204-13-048512 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130827 FILED AS OF DATE: 20130829 DATE AS OF CHANGE: 20130829 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Stellus Capital Investment Corp CENTRAL INDEX KEY: 0001551901 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4400 POST OAK PARKWAY STREET 2: SUITE 2200 CITY: HOUSTON STATE: TX ZIP: 77027 BUSINESS PHONE: (713) 292-5400 MAIL ADDRESS: STREET 1: 4400 POST OAK PARKWAY STREET 2: SUITE 2200 CITY: HOUSTON STATE: TX ZIP: 77027 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAW DAVID E CENTRAL INDEX KEY: 0001023870 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 131069860 MAIL ADDRESS: STREET 1: 120 WEST FORTY-FIFTH STREET STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D. E. SHAW & CO, L.P. CENTRAL INDEX KEY: 0001009268 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 131069861 BUSINESS ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS STREET 2: NINTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212 478 0000 MAIL ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS STREET 2: NINTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: SHAW D E & CO L P /NY/ DATE OF NAME CHANGE: 19990421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D. E. Shaw Direct Capital, L.L.C. CENTRAL INDEX KEY: 0001561691 STATE OF INCORPORATION: DE FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 131069862 BUSINESS ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-478-0000 MAIL ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DC Funding SPV 2, L.L.C. CENTRAL INDEX KEY: 0001561692 STATE OF INCORPORATION: DE FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 131069863 BUSINESS ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-478-0000 MAIL ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 4 1 v354033_4.xml OWNERSHIP DOCUMENT X0306 4 2013-08-27 0 0001551901 Stellus Capital Investment Corp SCM 0001561692 DC Funding SPV 2, L.L.C. 1166 AVENUE OF THE AMERICAS NINTH FLOOR NEW YORK NY 10036 0 0 1 1 See Footnotes 1 and 2 0001561691 D. E. Shaw Direct Capital, L.L.C. 1166 AVENUE OF THE AMERICAS NINTH FLOOR NEW YORK NY 10036 0 0 1 1 See Footnotes 1 and 2 0001009268 D. E. SHAW & CO, L.P. 1166 AVENUE OF THE AMERICAS NINTH FLOOR NEW YORK NY 10036 0 0 1 1 See Footnotes 1 and 2 0001023870 SHAW DAVID E 120 WEST FORTY FIFTH STREET NEW YORK NY 10036 0 0 1 1 See Footnotes 1 and 2 Common Stock, par value $0.001 per share 2013-08-27 4 S 0 11189 14.8787 D 1929291 D The securities reported in this Form 4 are directly held by DC Funding SPV 2, L.L.C. ("SPV 2"). D. E. Shaw Direct Capital, L.L.C. ("DESDC"), as manager of SPV 2; D. E. Shaw & Co., L.P. ("DESCO LP"), as managing member of DESDC; and Mr. David E. Shaw ("David E. Shaw") (as president and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of DESCO LP) may be deemed to be the beneficial owners of the securities reported in this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. In accordance with instruction 4(b)(iv), the entire number of shares of Common Stock of the Issuer that may be deemed to be beneficially owned by SPV 2, DESDC, DESCO LP, and David E Shaw is reported herein. Each of DESDC, DESCO LP, and David E Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein. Exhibit 24 - Power of Attorney /s/ Nathan Thomas, Authorized Signatory, DC Funding SPV 2, L.L.C. 2013-08-29 /s/ Nathan Thomas, Chief Compliance Officer, D. E. Shaw Direct Capital, L.L.C. 2013-08-29 /s/ Nathan Thomas, Chief Compliance Officer, D. E. Shaw & Co., L.P. 2013-08-29 /s/ Nathan Thomas, Attorney-in-Fact for David E. Shaw 2013-08-29 EX-24 2 v354033_ex24.htm POWER OF ATTORNEY

POWER OF ATTORNEY

FOR CERTAIN REGULATORY FILINGS

INCLUDING CERTAIN FILINGS

UNDER THE SECURITIES EXCHANGE ACT OF 1934

AND THE INVESTMENT ADVISERS ACT OF 1940

I, David E. Shaw, hereby make, constitute, and appoint each of:

Anne Dinning,

Julius Gaudio,

John Liftin,

Louis Salkind,

Maximilian Stone,

Nathan Thomas, and

Eric Wepsic,

acting individually, as my agent and attorney-in-fact, with full power of substitution, for the purpose of, from time to time, (i) executing in my name and/or my capacity as President of D. E. Shaw & Co., Inc. (acting for itself or as the general partner of D. E. Shaw & Co., L.P. and general partner, managing member, or manager of other entities, any of which in turn may be acting for itself or other entities) all documents, certificates, instruments, statements, other filings, and amendments to the foregoing (collectively, “documents”) determined by such person to be necessary or appropriate to comply with any registration or regulatory disclosure requirements and/or ownership or control-person reporting requirements imposed by any United States or non-United States governmental or regulatory authority, including without limitation Form ADV, Forms 3, 4, 5, and 13F, and Schedules 13D and 13G required to be filed with the United States Securities and Exchange Commission, and (ii) delivering, furnishing, or filing any such documents to or with the appropriate governmental or regulatory authority. Any such determination shall be conclusively evidenced by such person’s execution, delivery, furnishing, and/or filing of the applicable document.

This power of attorney shall be valid from the date hereof and replaces the power granted on December 15, 2011, which is hereby cancelled.

IN WITNESS HEREOF, I have executed this instrument as of the date set forth below.

Date: June 22, 2012

DAVID E. SHAW, as President of

D. E. Shaw & Co., Inc.

/s/ David E. Shaw

New York, New York