0001144204-17-032382.txt : 20170613
0001144204-17-032382.hdr.sgml : 20170613
20170613172858
ACCESSION NUMBER: 0001144204-17-032382
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170609
FILED AS OF DATE: 20170613
DATE AS OF CHANGE: 20170613
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: 17909733
MAIL ADDRESS:
STREET 1: STELLUS CAPITAL
STREET 2: 10000 MEMORIAL DRIVE STE 500
CITY: HOUSTON
STATE: TX
ZIP: 77024
4
1
v468951_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-06-09
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
2017-06-09
4
P
0
9000
13.50
A
204058
D
Common Stock
2017-06-13
4
P
0
5000
13.29
A
209058
D
The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of Stellus Capital Investment Corporation (the "Issuer"), par value $0.001 per share, on the transaction date. The price range for the purchases is $13.42 to $13.57 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 1,506 shares under the Issuer's Dividend Reinvestment Plan.
The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of Issuer's common stock on the transaction date. The price range for the purchases is $13.28 to $13.31 per share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.
/s/W. Todd Huskinson, attorney-in-fact
2017-06-13