SEC Form 4 · accession 0001144204-18-032488
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
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 6:41 pm EDT
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 | May 30, 2018 | P | 10,000 | $12.79 | A | 397,864 | D | |
| Common Stock | May 31, 2018 | P | 2,000 | $12.72 | A | 399,864 | D | |
| Common StockF3 | Jun 1, 2018 | P | 3,000 | $12.62 | A | 402,864 | 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 $12.78 to $12.82 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.
- F2Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 8,091 shares under the Issuer's Dividend Reinvestment Plan.
- F3The 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 $12.61 to $12.64 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.