0001144204-18-066240.txt : 20181226
0001144204-18-066240.hdr.sgml : 20181226
20181226160152
ACCESSION NUMBER: 0001144204-18-066240
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181220
FILED AS OF DATE: 20181226
DATE AS OF CHANGE: 20181226
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: 181252691
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
tv509723_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-12-20
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
2018-12-20
4
P
0
2000
11.92
A
472776
D
Common Stock
2018-12-21
4
P
0
4000
11.76
A
476776
D
Common Stock
2018-12-24
4
P
0
2000
11.95
A
478776
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 $11.9101 to $11.9305 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 764 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 Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $11.7477 to $11.7801 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 price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $11.9463 to $11.9633 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
2018-12-26