0001144204-18-065430.txt : 20181219 0001144204-18-065430.hdr.sgml : 20181219 20181219165857 ACCESSION NUMBER: 0001144204-18-065430 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181217 FILED AS OF DATE: 20181219 DATE AS OF CHANGE: 20181219 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: 181243942 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 tv509550_form4.xml FORM 4 X0306 4 2018-12-17 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 2018-12-17 4 P 0 34000 12.66 A 467012 D Common Stock 2018-12-19 4 P 0 3000 12.26 A 470012 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 $12.4696 to $12.9245 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 6,430 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 common stock of the Issuer on the transaction date. The price range for the purchases is $12.25 to $12.2699 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 2018-12-19