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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2015-08-26 10:45:05
Reporting Period:
Filing Date:
Accepted Time:
2015-08-26 10:45:05
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1551901 Stellus Capital Investment Corp SCM () 000000000
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1266152 Robert Ladd C/o Stellus Capital Investment Corp
4400 Post Oak Parkway, Suite 2200
Houston TX 77027
President And Ceo Yes Yes No No
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 Acquisiton 2015-08-24 7,000 $9.91 135,072 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
  1. 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 $9.83 to $10.35 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.
  2. The amount of securities beneficially owned following the reported transactions also includes an additional 811 shares issued under the DRIP.