SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Ladd Robert T.

(Last) (First) (Middle)
C/O STELLUS CAPITAL INVESTMENT CORP
4400 POST OAK PARKWAY, SUITE 2200

(Street)
HOUSTON TX 77027

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Stellus Capital Investment Corp [ SCM ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
08/04/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/04/2020 P 2,000 A $7.9893 578,653.85(1) D
Common Stock 08/04/2020 P 2,000 A $7.9934 580,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.9999 582,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.9956 584,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.9995 586,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.97 588,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.981 590,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.955 592,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.9425 594,653.85 D
Common Stock 08/04/2020 P 2,000 A $7.9791 596,653.85 D
Common Stock 08/06/2020 P 2,000 A $8.0568 598,653.85 D
Common Stock 08/06/2020 P 2,000 A $8.0404 600,653.85 D
Common Stock 08/06/2020 P 2,000 A $8.0602 602,653.85 D
Common Stock 08/06/2020 P 2,000 A $8.055 604,653.85 D
Common Stock 08/06/2020 P 2,000 A $8.034 606,653.85 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 16.648 shares under the Issuer's Dividend Reinvestment Plan.
/s/ W. Todd Huskinson, attorney-in-fact 08/06/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.