0001144204-14-016440.txt : 20140318 0001144204-14-016440.hdr.sgml : 20140318 20140318170042 ACCESSION NUMBER: 0001144204-14-016440 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140317 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 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 14701687 MAIL ADDRESS: STREET 1: STELLUS CAPITAL STREET 2: 10000 MEMORIAL DRIVE STE 500 CITY: HOUSTON STATE: TX ZIP: 77024 4 1 v372093_4.xml OWNERSHIP DOCUMENT X0306 4 2014-03-17 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 2014-03-17 4 P 0 200 14.61 A 69453 D Common Stock 2014-03-17 4 P 0 100 14.63 A 69553 D Common Stock 2014-03-17 4 P 0 250 14.66 A 69803 D Common Stock 2014-03-17 4 P 0 814 14.67 A 70617 D Common Stock 2014-03-17 4 P 0 1090 14.68 A 71707 D Common Stock 2014-03-17 4 P 0 1510 14.69 A 73217 D Common Stock 2014-03-17 4 P 0 1036 14.70 A 74253 D /s/Robert T. Ladd 2014-03-18