0001144204-17-059797.txt : 20171116 0001144204-17-059797.hdr.sgml : 20171116 20171116193625 ACCESSION NUMBER: 0001144204-17-059797 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171114 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Davis Joshua T. CENTRAL INDEX KEY: 0001561484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 171209319 MAIL ADDRESS: STREET 1: STELLUS CAPITAL STREET 2: 10000 MEMORIAL DRIVE STE 500 CITY: HOUSTON STATE: TX ZIP: 77024 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 4 1 tv479722_form4.xml OWNERSHIP DOCUMENT X0306 4 2017-11-14 0 0001551901 Stellus Capital Investment Corp SCM 0001561484 Davis Joshua T. C/O STELLUS CAPITAL INVESTMENT CORP 4400 POST OAK PARKWAY, SUITE 2200 HOUSTON TX 77027 1 0 0 0 Common Stock 2017-11-14 4 P 0 20000 12.46 A 168497 D Common Stock 2017-11-15 4 P 0 30000 12.27 A 198497 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 $12.2999 to $12.57 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 The amount of securities beneficially owned following the reported transaction also includes an additional 33,567 shares issued under the DRIP. The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of the Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $12.20 to $12.40 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 2017-11-16