Filing Details

Accession Number:
0001144204-13-050526
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-09-12 17:10:10
Reporting Period:
2013-09-10
Filing Date:
2013-09-12
Accepted Time:
2013-09-12 17:10:10
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1551901 Stellus Capital Investment Corp SCM () 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1009268 D. E. Shaw & Co, L.p. 1166 Avenue Of The Americas
Ninth Floor
New York NY 10036
No No Yes Yes
1023870 E David Shaw 120 West Forty Fifth Street
New York NY 10036
No No Yes Yes
1561691 D. E. Shaw Direct Capital, L.l.c. 1166 Avenue Of The Americas
Ninth Floor
New York NY 10036
No No Yes Yes
1561692 Dc Funding Spv 2, L.l.c. 1166 Avenue Of The Americas
Ninth Floor
New York NY 10036
No No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share Disposition 2013-09-10 13,036 $15.03 1,895,335 No 4 S Direct
Common Stock, Par Value $0.001 Per Share Disposition 2013-09-11 17,977 $15.02 1,877,358 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Footnotes
  1. The securities reported in this Form 4 are directly held by DC Funding SPV 2, L.L.C. ("SPV 2"). D. E. Shaw Direct Capital, L.L.C. ("DESDC"), as manager of SPV 2; D. E. Shaw & Co., L.P. ("DESCO LP"), as managing member of DESDC; and Mr. David E. Shaw ("David E. Shaw") (as president and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of DESCO LP) may be deemed to be the beneficial owners of the securities reported in this Form 4 for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934.
  2. In accordance with instruction 4(b)(iv), the entire number of shares of Common Stock of the Issuer that may be deemed to be beneficially owned by SPV 2, DESDC, DESCO LP, and David E Shaw is reported herein. Each of DESDC, DESCO LP, and David E Shaw disclaims any beneficial ownership of any security listed in this Form 4, except to the extent of any pecuniary interest therein.
  3. This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $15.00 to $15.14. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  4. This is a weighted average sale price for the transactions reported on this line. Sales ranged in price from $15.00 to $15.05. The Reporting Person undertakes to provide upon request by the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.