Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Stellus Capital Investment CorpSCM · Entity 6137 | Director · President and CEO | March 13, 2026 | March 17, 2026 |
| Stellus Private Credit BDCNONE · Entity 36702 | CEO and President · Trustee | September 15, 2026 | October 02, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Stellus Capital Investment Corp
Report date March 13, 2026 · Filed March 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 669,635.113 |
Last balance in matching sequence
After 2026-03-16 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-03-13 · Purchase · Acquired 35,000 · Balance 667,935.113 F1: The 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 $8.56 to $8.84 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. F2: Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan. Row 2 · 2026-03-16 · Purchase · Acquired 1,700 · Balance 669,635.113 F2: Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The 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 $8.56 to $8.84 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.
F2: Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan.
Stellus Private Credit BDC
Report date September 15, 2026 · Filed October 02, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 43,038.48 |
Reported balance
After 2026-09-15 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2026-09-15 · Purchase · Acquired 2,527 · Balance 43,038.48 F1: This amendment is being filed to update the disclosure in Table I, Columns 4 and 5 in the Form 4 previously filed on September 16, 2026 solely to correct a clerical error in the disclosure relating to the amount of shares acquired. |
Filing footnotes · ownership attribution and instrument terms
F1: This amendment is being filed to update the disclosure in Table I, Columns 4 and 5 in the Form 4 previously filed on September 16, 2026 solely to correct a clerical error in the disclosure relating to the amount of shares acquired.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $6.90 | $13,800.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 7 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 575,637.202 Read SEC document |
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 1,000 | $6.98 | $6,975.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 6 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 573,637.202 Read SEC document |
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 1,000 | $7.01 | $7,010.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 5 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 572,637.202 Read SEC document |
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $6.97 | $13,949.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 4 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 571,637.202 Read SEC document |
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $7.12 | $14,240.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 3 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 569,637.202 Read SEC document |
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $7.08 | $14,157.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567,637.202 Read SEC document |
| May 19, 2020 Filed May 21, 2020 19:24 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $7.05 | $14,090.00 |
DisclosureSEC source: 0001104659-20-064704 · tm2020662-1_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 565,637.202 F1 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 7.25 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| March 23, 2020 Filed Mar 23, 2020 23:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $5.86 | $11,720.00 |
DisclosureSEC source: 0001104659-20-037423 · tm2013514-1_4.xml · nonDerivative · entry 5 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,629.952 Read SEC document |
| March 23, 2020 Filed Mar 23, 2020 23:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $5.79 | $11,572.40 |
DisclosureSEC source: 0001104659-20-037423 · tm2013514-1_4.xml · nonDerivative · entry 4 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 561,629.952 Read SEC document |
| March 23, 2020 Filed Mar 23, 2020 23:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $5.36 | $10,711.20 |
DisclosureSEC source: 0001104659-20-037423 · tm2013514-1_4.xml · nonDerivative · entry 3 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 559,629.952 Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 23:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $4.87 | $9,747.40 |
DisclosureSEC source: 0001104659-20-037423 · tm2013514-1_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 557,629.952 Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 23:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $4.89 | $9,786.20 |
DisclosureSEC source: 0001104659-20-037423 · tm2013514-1_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 555,629.952 F1 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 1,989.747 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 20:40 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $7.89 | $15,786.80 |
DisclosureSEC source: 0001104659-20-034125 · tm2012871-2_4.xml · nonDerivative · entry 4 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 551,640.205 Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 20:40 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $7.86 | $15,728.00 |
DisclosureSEC source: 0001104659-20-034125 · tm2012871-2_4.xml · nonDerivative · entry 3 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 549,640.205 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 20:40 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 5,000 | $8.63 | $43,171.50 |
DisclosureSEC source: 0001104659-20-034125 · tm2012871-2_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 547,640.205 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 20:40 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 5,000 | $8.58 | $42,903.50 |
DisclosureSEC source: 0001104659-20-034125 · tm2012871-2_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 542,640.205 F1 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 58,864.205 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| December 24, 2018 Filed Dec 26, 2018 21:01 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $11.95 | $23,900.00 |
DisclosureSEC source: 0001144204-18-066240 · tv509723_4.xml · nonDerivative · entry 3 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 478,776 F4 · price: The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $11.9463 to $11.9633 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. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 21:01 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 4,000 | $11.76 | $47,040.00 |
DisclosureSEC source: 0001144204-18-066240 · tv509723_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 476,776 F3 · price: The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of common stock of Issuer, par value $0.001 per share, on the transaction date. The price range for the purchases is $11.7477 to $11.7801 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. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 21:01 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $11.92 | $23,840.00 |
DisclosureSEC source: 0001144204-18-066240 · tv509723_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,776 F1 · price: The 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 $11.9101 to $11.9305 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 764 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| December 19, 2018 Filed Dec 19, 2018 21:58 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 3,000 | $12.26 | $36,780.00 |
DisclosureSEC source: 0001144204-18-065430 · tv509550_form4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 470,012 F3 · price: The 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 on the transaction date. The price range for the purchases is $12.25 to $12.2699 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. Read SEC document |
| December 17, 2018 Filed Dec 19, 2018 21:58 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 34,000 | $12.66 | $430,440.00 |
DisclosureSEC source: 0001144204-18-065430 · tv509550_form4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 467,012 F1 · price: The 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 $12.4696 to $12.9245 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 6,430 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 21:25 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 6,500 | $12.87 | $83,655.00 |
DisclosureSEC source: 0001144204-18-059972 · tv507309_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 426,582 F1 · price: The 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 $12.7500 to $12.9441 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 17,218 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| June 01, 2018 Filed Jun 1, 2018 22:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 3,000 | $12.62 | $37,860.00 |
DisclosureSEC source: 0001144204-18-032488 · tv495708_4.xml · nonDerivative · entry 3 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,864 F3 · price: The 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. Read SEC document |
| May 31, 2018 Filed Jun 1, 2018 22:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $12.72 | $25,440.00 |
DisclosureSEC source: 0001144204-18-032488 · tv495708_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 399,864 Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 22:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 10,000 | $12.79 | $127,900.00 |
DisclosureSEC source: 0001144204-18-032488 · tv495708_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,864 F1 · price: The 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. F2 · balance_after: Since 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. Read SEC document |
| March 16, 2018 Filed Mar 19, 2018 21:48 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 3,000 | $11.78 | $35,340.00 |
DisclosureSEC source: 0001144204-18-015673 · tv488942_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 379,773 F3 · price: The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the Issuer's shares of common stock, par value $0.001 per share, on the transaction date. The price range for the purchases is $11.72 to $11.80 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. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 21:48 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 7,000 | $11.64 | $81,480.00 |
DisclosureSEC source: 0001144204-18-015673 · tv488942_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,773 F1 · price: The 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 $11.62 to $11.66 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 1,944 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| March 12, 2018 Filed Mar 12, 2018 22:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 7,000 | $11.90 | $83,300.00 |
DisclosureSEC source: 0001144204-18-014182 · tv488344_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,829 F3 · price: The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the Issuer's shares of common stock, par value $0.001 per share, on the transaction date. The price range for the purchases is $11.83 to $11.93 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. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 22:09 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 33,000 | $11.63 | $383,790.00 |
DisclosureSEC source: 0001144204-18-014182 · tv488344_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,829 F1 · price: The 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 $11.48 to $11.87 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 8,358 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 00:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 400 | $12.25 | $4,900.00 |
DisclosureSEC source: 0001144204-17-059800 · tv479764_4.xml · nonDerivative · entry 4 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,471 Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 00:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 22,000 | $12.24 | $269,280.00 |
DisclosureSEC source: 0001144204-17-059800 · tv479764_4.xml · nonDerivative · entry 3 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,071 F4 · price: The 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 $12.3252 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. Read SEC document |
| November 14, 2017 Filed Nov 17, 2017 00:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 41,693 | $12.49 | $520,745.57 |
DisclosureSEC source: 0001144204-17-059800 · tv479764_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,071 F3 · price: The 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 $12.40 to $12.50 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. Read SEC document |
| November 14, 2017 Filed Nov 17, 2017 00:41 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 14,000 | $12.41 | $173,740.00 |
DisclosureSEC source: 0001144204-17-059800 · tv479764_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,378 F1 · price: The 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 $12.2684 to $12.5192 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 5,671 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| September 11, 2017 Filed Sep 12, 2017 20:06 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 2,000 | $13.27 | $26,540.00 |
DisclosureSEC source: 0001144204-17-047640 · v474980_4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,707 Read SEC document |
| September 08, 2017 Filed Sep 12, 2017 20:06 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 12,000 | $13.34 | $160,080.00 |
DisclosureSEC source: 0001144204-17-047640 · v474980_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,707 F1 · price: The 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 $$13.316 to $13.3563 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 4,555 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| June 20, 2017 Filed Jun 22, 2017 16:52 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 7,400 | $13.22 | $97,828.00 |
DisclosureSEC source: 0001144204-17-033561 · v469463_form4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,152 F1 · price: The 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 $13.15 to $13.25 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 694 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| June 13, 2017 Filed Jun 13, 2017 21:28 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 5,000 | $13.29 | $66,450.00 |
DisclosureSEC source: 0001144204-17-032382 · v468951_form4.xml · nonDerivative · entry 2 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,058 F3 · price: The price shown in Column 4 is the weighted average purchase price, rounded to the nearest hundredth, of the shares of Issuer's common stock on the transaction date. The price range for the purchases is $13.28 to $13.31 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. Read SEC document |
| June 09, 2017 Filed Jun 13, 2017 21:28 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 9,000 | $13.50 | $121,500.00 |
DisclosureSEC source: 0001144204-17-032382 · v468951_form4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,058 F1 · price: The 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 $13.42 to $13.57 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 1,506 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| May 10, 2017 Filed May 12, 2017 19:14 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 6,000 | $13.52 | $81,120.00 |
DisclosureSEC source: 0001144204-17-026844 · v466932_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,552 F1 · price: The 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 $13.52 to $13.53 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. F2 · balance_after: Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 9,443 shares under the Issuer's Dividend Reinvestment Plan. Read SEC document |
| November 09, 2016 Filed Nov 10, 2016 22:22 UTC | Stellus Capital Investment Corp SCM · Entity 6137 | PurchaseCommon Stock | 3,000 | $11.03 | $33,090.00 |
DisclosureSEC source: 0001144204-16-133399 · v452778_4.xml · nonDerivative · entry 1 Ladd Robert T. · CIK 0001561515 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,109 F1 · price: The 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. F2 · balance_after: The amount of securities beneficially owned following the reported transaction also includes an additional 19,780 shares issued under the Issuer's dividend reinvestment plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.