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