SEC Form 4 · accession 0001144204-17-059797
Stellus Capital Investment Corp · SCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua T. Davis
Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 16, 2017 · 7:36 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 14, 2017 | P | 20,000 | $12.46 | A | 168,497 | D | |
| Common StockF3 | Nov 15, 2017 | P | 30,000 | $12.27 | A | 198,497 | 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 $12.2999 to $12.57 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 33,567 shares issued under the DRIP.
- F3The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of the Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $12.20 to $12.40 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.