SEC Form 4 · accession 0001144204-15-071079
Stellus Capital Investment Corp · SCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert T. Ladd
Officer — President and CEO · Director
Period of report
Dec 11, 2015
Accepted (ET)
Dec 15, 2015 · 7:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001551901
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 11, 2015 | P | 3,787 | $10.00 | A | 146,304 | D | |
| Common Stock | Dec 14, 2015 | P | 7,782 | $9.97 | A | 154,086 | D | |
| Common StockF1 | Dec 15, 2015 | P | 882 | $9.74 | A | 155,329 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The amount of securities beneficially owned following the reported transactions also includes an additional 361 shares issued under the Stellus Capital Investment Corporation dividend reinvestment plan.