0001144204-14-016410.txt : 20140318 0001144204-14-016410.hdr.sgml : 20140318 20140318162104 ACCESSION NUMBER: 0001144204-14-016410 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140313 FILED AS OF DATE: 20140318 DATE AS OF CHANGE: 20140318 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 T. CENTRAL INDEX KEY: 0001561515 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 14701202 MAIL ADDRESS: STREET 1: STELLUS CAPITAL STREET 2: 10000 MEMORIAL DRIVE STE 500 CITY: HOUSTON STATE: TX ZIP: 77024 4/A 1 v372045_4a.xml OWNERSHIP DOCUMENT X0306 4/A 2014-03-13 2014-03-13 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 2014-03-13 4 P 0 200 14.41 A 64453 D Common Stock 2014-03-13 4 P 0 700 14.44 A 65153 D Common Stock 2014-03-13 4 P 0 405 14.45 A 65558 D Common Stock 2014-03-13 4 P 0 200 14.47 A 65758 D Common Stock 2014-03-13 4 P 0 100 14.49 A 65858 D Common Stock 2014-03-13 4 P 0 300 14.50 A 66158 D Common Stock 2014-03-13 4 P 0 3095 14.51 A 69253 D This amendment is being filed to correct the transaction information as originally reported on the reporting person's Form 4 filed on March 13, 2014. /s/Robert T. Ladd 2014-03-18