0001144204-14-037200.txt : 20140624 0001144204-14-037200.hdr.sgml : 20140624 20140612120742 ACCESSION NUMBER: 0001144204-14-037200 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140610 FILED AS OF DATE: 20140612 DATE AS OF CHANGE: 20140612 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: 14906471 MAIL ADDRESS: STREET 1: STELLUS CAPITAL STREET 2: 10000 MEMORIAL DRIVE STE 500 CITY: HOUSTON STATE: TX ZIP: 77024 4 1 v381307_4.xml OWNERSHIP DOCUMENT X0306 4 2014-06-10 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 2014-06-10 4 P 0 100 14.22 A 81096 D Common Stock 2014-06-10 4 P 0 100 14.225 A 81196 D Common Stock 2014-06-10 4 P 0 100 14.235 A 81296 D Common Stock 2014-06-10 4 P 0 100 14.24 A 81396 D Common Stock 2014-06-10 4 P 0 500 14.245 A 81896 D Common Stock 2014-06-10 4 P 0 1200 14.2465 A 83096 D Common Stock 2014-06-10 4 P 0 100 14.2479 A 83196 D Common Stock 2014-06-10 4 P 0 2800 14.25 A 85996 D Common Stock 2014-06-11 4 P 0 1523 13.98 A 87519 D Common Stock 2014-06-11 4 P 0 2000 13.9838 A 89519 D Common Stock 2014-06-11 4 P 0 100 13.985 A 89619 D Common Stock 2014-06-11 4 P 0 177 13.99 A 89796 D Common Stock 2014-06-11 4 P 0 200 13.995 A 89996 D Common Stock 2014-06-11 4 P 0 1000 14 A 90996 D Common Stock 2014-06-11 4 P 0 2500 14.01 A 93496 D Common Stock 2014-06-11 4 P 0 1000 14.0299 A 94496 D Common Stock 2014-06-11 4 P 0 3000 14.0328 A 97496 D The amount of securities beneficially owned following the reported transactions also includes an additional 1,219 shares issued under the DRIP. /s/ Robert T. Ladd 2014-06-12