SEC Form 4 · accession 0001144204-16-133399
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
Nov 9, 2016
Accepted (ET)
Nov 10, 2016 · 5:22 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 StockF1,F2 | Nov 9, 2016 | P | 3,000 | $11.03 | A | 178,109 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 $11.01 to $11.05 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.
- F2The amount of securities beneficially owned following the reported transaction also includes an additional 19,780 shares issued under the Issuer's dividend reinvestment plan.