Stellus Capital Investment Corp (SCM)

Sector:
FINANCE
Industry:
BANKS
SIC:
CEO:
Rob Thomsen Ladd
Employees:
599
4400 POST OAK PARKWAY, SUITE 2200, HOUSTON, TX 77027
(713) 292-5400

Stellus Capital Investment Corp. is a business development company which offers customized sources of private credit and energy-focused private equity capital to the middle market. The fund focuses on companies with an EBITDA of $5 to $150 million. It provides financing in the form of first lien, second lien, unitranche and mezzanine debt financing with an investment size ranging from $30 to $150 million.

View SEC Filings from SCM instead.

View recent insider trading info

Funds Holding SCM (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding SCM BETA

Active Schedule 13D and 13G filings

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Recent Filings

Events (8k)

  • 8-K: filed on 2022-06-24:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2022-05-19:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
  • 8-K: filed on 2021-12-22:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
  • 8-K: filed on 2021-12-14:
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-11-16:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-06-25:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2021-01-14:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-01-13:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-01-12:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2020-09-21:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
  • Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    35.9 Thousand total shares from 17 transactions

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    BILGER BRUCE R

    • Director
    182,565 2022-06-17 1

    D'ANGELO DEAN

    • Director
    196,682 2022-06-16 3

    LADD ROBERT T. PRESIDENT AND CEO

    • Officer
    • Director
    3,780,553 2022-06-16 2

    DAVIS JOSHUA T.

    • Director
    321,584 2020-03-18 0

    ARNOULT J TIM

    • Director
    40,869 2020-03-13 0

    HUSKINSON W. TODD CFO & CHIEF COMPLIANCE OFFICER

    • Officer
    21,731 2018-12-19 0

    LADD ROBERT PRESIDENT AND CEO

    • Officer
    • Director
    135,072 2015-08-24 0

    KEGLEVIC PAUL

    • Director
    8,165 2015-06-19 0

    DC FUNDING SPV 2, L.L.C.

    D. E. SHAW DIRECT CAPITAL, L.L.C.

    D. E. SHAW & CO, L.P.

    SHAW DAVID E

    • SEE FOOTNOTES 1 AND 2SEE FOOTNOTES 1 AND 2SEE FOOTNOTES 1 AND 2SEE FOOTNOTES 1 AND 2
    No longer subject to file 2015-05-27 0

    REPKO WILLIAM C

    • Director
    10,000 2012-11-07 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed
    Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    BILGER BRUCE R - Director

    2022-06-22 16:37:47 -0400 2022-06-17 P 17,543 $11.35 a 182,565 direct 1.2411 1.2411 2 0.0 1

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-06-21 21:08:33 -0400 2022-06-16 P 1,000 $11.30 a 627,592 direct -0.177 0.0 1 -0.177 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-06-21 21:08:33 -0400 2022-06-16 P 1,000 $11.48 a 628,592 direct -0.177 0.0 1 -0.177 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-06-21 21:08:33 -0400 2022-06-16 P 1,000 $11.40 a 629,592 direct -0.177 0.0 1 -0.177 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-06-21 21:08:33 -0400 2022-06-16 P 1,000 $11.49 a 630,592 direct -0.177 0.0 1 -0.177 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-06-21 21:08:33 -0400 2022-06-16 P 1,000 $11.52 a 631,592 direct -0.177 0.0 1 -0.177 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-06-21 21:08:33 -0400 2022-06-16 P 1,000 $11.48 a 632,592 direct -0.177 0.0 1 -0.177 2

    D'ANGELO DEAN - Director

    2022-06-21 16:16:17 -0400 2022-06-16 P 2,500 $11.38 a 196,682 direct -0.177 0.0 1 -0.177 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 1,000 $12.66 a 626,581 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 1,000 $12.68 a 625,581 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 30 $12.70 a 624,581 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 388 $12.69 a 624,551 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 582 $12.69 a 624,163 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 3,834 $13.00 a 623,581 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 1,000 $12.87 a 619,747 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-18 P 1,000 $12.85 a 618,747 direct -0.6324 2.967 2.967 6 -0.6324 2

    LADD ROBERT T. - Director - Officer PRESIDENT AND CEO

    2022-05-18 17:13:04 -0400 2022-05-16 P 1,000 $12.82 a 617,747 direct -0.6324 2.967 2.967 6 -0.6324 2

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 22:15:03 UTC -0.9659 2.5359 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 21:45:03 UTC -0.9659 2.5359 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 21:15:04 UTC -0.9659 2.5359 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 20:45:03 UTC -0.9659 2.5359 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 20:15:03 UTC -0.9659 2.5359 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 19:45:03 UTC -0.9659 2.5359 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 19:15:03 UTC -0.9659 2.5359 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 18:45:03 UTC -1.1949 2.7649 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 18:15:04 UTC -1.1949 2.7649 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 17:45:03 UTC -1.1949 2.7649 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 17:15:03 UTC -1.1949 2.7649 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 16:45:03 UTC -1.1949 2.7649 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 16:15:03 UTC -1.1949 2.7649 35000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 15:45:03 UTC -1.1949 2.7649 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 15:15:03 UTC -1.1949 2.7649 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 14:45:03 UTC -1.0671 2.6371 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 14:15:03 UTC -1.0671 2.6371 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 13:45:03 UTC -1.0671 2.6371 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 13:15:03 UTC -1.0671 2.6371 30000
    STELLUS CAPITAL INVESTMENT C SCM 2022-06-24 12:45:03 UTC -1.0671 2.6371 30000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

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