0001104659-20-091624.txt : 20200806 0001104659-20-091624.hdr.sgml : 20200806 20200806210208 ACCESSION NUMBER: 0001104659-20-091624 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200804 FILED AS OF DATE: 20200806 DATE AS OF CHANGE: 20200806 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ladd Robert T. CENTRAL INDEX KEY: 0001561515 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 201083501 MAIL ADDRESS: STREET 1: STELLUS CAPITAL STREET 2: 10000 MEMORIAL DRIVE STE 500 CITY: HOUSTON STATE: TX ZIP: 77024 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 4 1 tm2026860d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-08-04 0 0001551901 Stellus Capital Investment Corp SCM 0001561515 Ladd Robert T. C/O STELLUS CAPITAL INVESTMENT CORP 4400 POST OAK PARKWAY, SUITE 2200 HOUSTON TX 77027 1 1 0 0 President and CEO Common Stock 2020-08-04 4 P 0 2000 7.9893 A 578653.85 D Common Stock 2020-08-04 4 P 0 2000 7.9934 A 580653.85 D Common Stock 2020-08-04 4 P 0 2000 7.9999 A 582653.85 D Common Stock 2020-08-04 4 P 0 2000 7.9956 A 584653.85 D Common Stock 2020-08-04 4 P 0 2000 7.9995 A 586653.85 D Common Stock 2020-08-04 4 P 0 2000 7.97 A 588653.85 D Common Stock 2020-08-04 4 P 0 2000 7.981 A 590653.85 D Common Stock 2020-08-04 4 P 0 2000 7.955 A 592653.85 D Common Stock 2020-08-04 4 P 0 2000 7.9425 A 594653.85 D Common Stock 2020-08-04 4 P 0 2000 7.9791 A 596653.85 D Common Stock 2020-08-06 4 P 0 2000 8.0568 A 598653.85 D Common Stock 2020-08-06 4 P 0 2000 8.0404 A 600653.85 D Common Stock 2020-08-06 4 P 0 2000 8.0602 A 602653.85 D Common Stock 2020-08-06 4 P 0 2000 8.0550 A 604653.85 D Common Stock 2020-08-06 4 P 0 2000 8.0340 A 606653.85 D Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 16.648 shares under the Issuer's Dividend Reinvestment Plan. /s/ W. Todd Huskinson, attorney-in-fact 2020-08-06