0001144204-14-017088.txt : 20140321 0001144204-14-017088.hdr.sgml : 20140321 20140321160001 ACCESSION NUMBER: 0001144204-14-017088 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140319 FILED AS OF DATE: 20140321 DATE AS OF CHANGE: 20140321 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: 14710231 MAIL ADDRESS: STREET 1: STELLUS CAPITAL STREET 2: 10000 MEMORIAL DRIVE STE 500 CITY: HOUSTON STATE: TX ZIP: 77024 4 1 v372374_4.xml OWNERSHIP DOCUMENT X0306 4 2014-03-19 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 2014-03-19 4 P 0 3100 14.4 A 77877 D Common Stock 2014-03-19 4 P 0 100 14.44 A 77977 D Common Stock 2014-03-19 4 P 0 1800 14.45 A 79777 D The amount of shares beneficially owned includes 7,726 shares issued under the DRIP and 17,627 shares distributed by Stellus Capital Management, LLC to the reporting person. /s/Robert T. Ladd 2014-03-21