0001104659-20-037279.txt : 20200323 0001104659-20-037279.hdr.sgml : 20200323 20200323150525 ACCESSION NUMBER: 0001104659-20-037279 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200313 FILED AS OF DATE: 20200323 DATE AS OF CHANGE: 20200323 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Arnoult J Tim CENTRAL INDEX KEY: 0001293472 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00971 FILM NUMBER: 20734727 MAIL ADDRESS: STREET 1: 100 NORTH TRYON STREET STREET 2: NC1-007-52-10 CITY: CHARLOTTE STATE: NC ZIP: 28255 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 tm2013514-2_4.xml OWNERSHIP DOCUMENT X0306 4 2020-03-13 0 0001551901 Stellus Capital Investment Corp SCM 0001293472 Arnoult J Tim C/O STELLUS CAPITAL INVESTMENT CORP 4400 POST OAK PARKWAY, SUITE 2200 HOUSTON TX 77027 1 0 0 0 Common Stock 2020-03-13 4 P 0 10000 9.09 A 30869 D Common Stock 2020-03-19 4 P 0 1000 5.80 A 31869 D Common Stock 2020-03-23 4 P 0 9000 5.77 A 40869 D The price shown 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 $9.05 to $9.11 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 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 $5.745 to $5.80 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 2020-03-23