0001144204-14-009938.txt : 20140214 0001144204-14-009938.hdr.sgml : 20140214 20140214164422 ACCESSION NUMBER: 0001144204-14-009938 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 GROUP MEMBERS: D. E. SHAW & CO., L.P. GROUP MEMBERS: D. E. SHAW DIRECT CAPITAL, L.L.C. GROUP MEMBERS: DAVID E. SHAW SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Stellus Capital Investment Corp CENTRAL INDEX KEY: 0001551901 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87319 FILM NUMBER: 14617787 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DC Funding SPV 2, L.L.C. CENTRAL INDEX KEY: 0001561692 IRS NUMBER: 452958319 STATE OF INCORPORATION: DE FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS STREET 2: NINTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 1166 AVENUE OF THE AMERICAS STREET 2: NINTH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 SC 13G/A 1 v368131_sc13ga.htm AMENDMENT NO. 1 TO SCHEDULE 13G

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

(Amendment No. 1)

Under the Securities Exchange Act of 1934

Stellus Capital Investment Corporation

(Name of Issuer)

Common Stock, $0.001 par value

(Title of Class of Securities)

858568108

(CUSIP Number)

December 31, 2013

(Date of Event Which Requires Filing of this Statement)

Check the following box to designate the rule pursuant to which the Schedule is filed:

¨	Rule 13d-1(b)
¨	Rule 13d-1(c)
x	Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

CUSIP No. 858568108
	1.	Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) DC Funding SPV 2, L.L.C. 45-2958319
	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)		¨
		(b)		¨
	3.	SEC Use Only
	4.	Citizenship or Place of Organization Delaware
Number of Shares Beneficially Owned by Each Reporting Person With			5.		Sole Voting Power -0-
			6.		Shared Voting Power 1,875,858
			7.		Sole Dispositive Power -0-
			8.		Shared Dispositive Power 1,875,858
	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 1,875,858
	10.	Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
	11.	Percent of Class Represented by Amount in Row (9) 15.5%
	12.	Type of Reporting Person (See Instructions) OO

CUSIP No. 858568108
	1.	Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) D. E. Shaw Direct Capital, L.L.C. 26-2474928
	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)		¨
		(b)		¨
	3.	SEC Use Only
	4.	Citizenship or Place of Organization Delaware
Number of Shares Beneficially Owned by Each Reporting Person With			5.		Sole Voting Power -0-
			6.		Shared Voting Power 1,875,858
			7.		Sole Dispositive Power -0-
			8.		Shared Dispositive Power 1,875,858
	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 1,875,858
	10.	Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
	11.	Percent of Class Represented by Amount in Row (9) 15.5%
	12.	Type of Reporting Person (See Instructions) OO

CUSIP No. 858568108
	1.	Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) D. E. Shaw & Co., L.P. 13-3695715
	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)		¨
		(b)		¨
	3.	SEC Use Only
	4.	Citizenship or Place of Organization Delaware
Number of Shares Beneficially Owned by Each Reporting Person With			5.		Sole Voting Power -0-
			6.		Shared Voting Power 1,875,858
			7.		Sole Dispositive Power -0-
			8.		Shared Dispositive Power 1,875,858
	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 1,875,858
	10.	Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
	11.	Percent of Class Represented by Amount in Row (9) 15.5%
	12.	Type of Reporting Person (See Instructions) IA, PN

CUSIP No. 858568108
	1.	Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) David E. Shaw
	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)		¨
		(b)		¨
	3.	SEC Use Only
	4.	Citizenship or Place of Organization United States
Number of Shares Beneficially Owned by Each Reporting Person With			5.		Sole Voting Power -0-
			6.		Shared Voting Power 1,875,858
			7.		Sole Dispositive Power -0-
			8.		Shared Dispositive Power 1,875,858
	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 1,875,858
	10.	Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
	11.	Percent of Class Represented by Amount in Row (9) 15.5%
	12.	Type of Reporting Person (See Instructions) IN

Item 1.
(a)	Name of Issuer
	Stellus Capital Investment Corporation


(b)	Address of Issuer's Principal Executive Offices
	4400 Post Oak Parkway, Suite 2200
	Houston, TX 77027

Item 2.
(a)	Name of Person Filing
	DC Funding SPV 2, L.L.C.
	D. E. Shaw Direct Capital, L.L.C.
	D. E. Shaw & Co., L.P.
	David E. Shaw


(b)	Address of Principal Business Office or, if none, Residence
	The business address for each reporting person is:
	1166 Avenue of the Americas, 9^th Floor
	New York, NY 10036


(c)	Citizenship
	DC Funding SPV 2, L.L.C. is a limited liability company organized under the laws of the state of Delaware.
	D. E. Shaw Direct Capital, L.L.C. is a limited liability company organized under the laws of the state of Delaware.
	D. E. Shaw & Co., L.P. is a limited partnership organized under the laws of the state of Delaware.
	David E. Shaw is a citizen of the United States of America.


(d)	Title of Class of Securities
	Common Stock, $0.001 par value


(e)	CUSIP Number
	858568108

Item 3.	If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a:

Not Applicable

Item 4.	Ownership

As of December 31, 2013:

(a)

Amount beneficially owned:

DC Funding SPV 2, L.L.C.:	1,875,858 shares

D. E. Shaw Direct Capital, L.L.C.	1,875,858 shares
	This is composed of 1,875,858 shares in the name of DC Funding SPV 2, L.L.C.

D. E. Shaw & Co., L.P.:	1,875,858 shares
	This is composed of 1,875,858 shares in the name of DC Funding SPV 2, L.L.C.

David E. Shaw:	1,875,858 shares
	This is composed of 1,875,858 shares in the name of DC Funding SPV 2, L.L.C.

(b)

Percent of class:

DC Funding SPV 2, L.L.C.:	15.5%
D. E. Shaw Direct Capital, L.L.C.:	15.5%
D. E. Shaw & Co., L.P.:	15.5%
David E. Shaw:	15.5%

(c)

Number of shares to which the person has:

(i)

Sole power to vote or to direct the vote:

DC Funding SPV 2, L.L.C.:	-0- shares
D. E. Shaw Direct Capital, L.L.C.:	-0- shares
D. E. Shaw & Co., L.P.:	-0- shares
David E. Shaw:	-0- shares

(ii)

Shared power to vote or to direct the vote:

DC Funding SPV 2, L.L.C.:	1,875,858 shares
D. E. Shaw Direct Capital, L.L.C.:	1,875,858 shares
D. E. Shaw & Co., L.P.:	1,875,858 shares
David E. Shaw:	1,875,858 shares

(iii)

Sole power to dispose or to direct the disposition of:

DC Funding SPV 2, L.L.C.:	-0- shares
D. E. Shaw Direct Capital, L.L.C.:	-0- shares
D. E. Shaw & Co., L.P.:	-0- shares
David E. Shaw:	-0- shares

(iv)

Shared power to dispose or to direct the disposition of:

DC Funding SPV 2, L.L.C.:	1,875,858 shares
D. E. Shaw Direct Capital, L.L.C.:	1,875,858 shares
D. E. Shaw & Co., L.P.:	1,875,858 shares
David E. Shaw:	1,875,858 shares

David E. Shaw does not own any shares directly. By virtue of David E. Shaw’s position as President and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of D. E. Shaw & Co., L.P., which in turn is the managing member of D. E. Shaw Direct Capital, L.L.C., which in turn is the manager of DC Funding SPV 2, L.L.C., David E. Shaw may be deemed to have the shared power to vote or direct the vote of, and the shared power to dispose or direct the disposition of, the 1,875,858 shares as described above constituting 15.5% of the outstanding shares and, therefore, David E. Shaw may be deemed to be the beneficial owner of such shares. David E. Shaw disclaims beneficial ownership of such 1,875,858 shares.

Item 5.		Ownership of Five Percent or Less of a Class
Not Applicable
Item 6.		Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable
Item 7.		Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
Not Applicable
Item 8.		Identification and Classification of Members of the Group
Not Applicable
Item 9.		Notice of Dissolution of Group
Not Applicable
Item 10.	Certification

By signing below, each of DC Funding SPV 2, L.L.C., D. E. Shaw Direct Capital, L.L.C., D. E. Shaw & Co., L.P., and David E. Shaw certify that, to the best of such reporting person’s knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purposes or effect.

SIGNATURE

After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. A Power of Attorney, dated June 22, 2012, granted by David E. Shaw in favor of Nathan Thomas, is attached hereto.

Dated: February 14, 2014

DC Funding SPV 2, L.L.C.

By:	/s/ Nathan Thomas
	Nathan Thomas
	Authorized Signatory


D. E. Shaw Direct Capital, L.L.C.

By:	/s/ Nathan Thomas
	Nathan Thomas
	Chief Compliance Officer


D. E. Shaw & Co., L.P.

By:	/s/ Nathan Thomas
	Nathan Thomas
	Chief Compliance Officer


David E. Shaw

By:	/s/ Nathan Thomas
	Nathan Thomas
	Attorney-in-Fact for David E. Shaw