0001144204-15-051884.txt : 20150826 0001144204-15-051884.hdr.sgml : 20150826 20150826104505 ACCESSION NUMBER: 0001144204-15-051884 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150824 FILED AS OF DATE: 20150826 DATE AS OF CHANGE: 20150826 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: LADD ROBERT CENTRAL INDEX KEY: 0001266152 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 151074879 MAIL ADDRESS: STREET 1: C/O LADDCAP VALUE ADVISORS LLC STREET 2: 650 FIFTH AVENUE, SUITE 600 CITY: NEW YORK STATE: NY ZIP: 10019 4 1 v419133_4.xml OWNERSHIP DOCUMENT X0306 4 2015-08-24 0 0001551901 Stellus Capital Investment Corp SCM 0001266152 LADD ROBERT C/O STELLUS CAPITAL INVESTMENT CORP 4400 POST OAK PARKWAY, SUITE 2200 HOUSTON TX 77027 1 1 0 0 President and CEO Common Stock 2015-08-24 4 P 0 7000 9.91 A 135072 D The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of Stellus Capital Investment Corporation (the "Issuer"), par value $0.001 per share, on the transaction date. The price range for the purchases is $9.83 to $10.35 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price. The amount of securities beneficially owned following the reported transactions also includes an additional 811 shares issued under the DRIP. /s/ W. Todd Huskinson, attorney-in-fact 2015-08-26