0001104659-20-108356.txt : 20200924 0001104659-20-108356.hdr.sgml : 20200924 20200924172108 ACCESSION NUMBER: 0001104659-20-108356 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200923 FILED AS OF DATE: 20200924 DATE AS OF CHANGE: 20200924 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: 201196081 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 tm2031748d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-09-23 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 2020-09-23 4 P 0 2000 8.105 A 608653.845 D Common Stock 2020-09-23 4 P 0 2000 8.1355 A 610653.845 D Common Stock 2020-09-23 4 P 0 2000 8.1145 A 612653.845 D Common Stock 2020-09-23 4 P 0 2000 8.1195 A 614653.845 D Common Stock 2020-09-23 4 P 0 2000 8.093 A 616653.845 D /s/ W. Todd Huskinson, attorney-in-fact 2020-09-24