Stellus Capital (SCM) 8-K: Exhibit 99.1 Notice of Redemption for 2026 Notes

Rhea-AI Filing Summary

Stellus Capital Investment Corporation (SCM) reported a material event on an 8-K indicating it filed a notice of redemption for its 4.875% Notes due 2026. The filing lists Item 8.01 (Other Events) and Item 9.01 (Financial Statements and Exhibits) and identifies Exhibit 99.1 as the "Notice of Redemption of 4.875% Notes due 2026." The document provides the exhibit description but does not include the full redemption terms, timing, payment amounts, or source of funds within the text provided here.

Positive

• Filed an 8-K disclosing a material event and attaching Exhibit 99.1: Notice of Redemption of 4.875% Notes due 2026

Negative

• None.

Insights

Fixed Income Analyst

TL;DR: Company filed an 8-K exhibiting a notice to redeem its 4.875% notes due 2026; details of the redemption are not included in the provided text.

The filing explicitly attaches Exhibit 99.1 as a "Notice of Redemption of 4.875% Notes due 2026." From a fixed-income perspective, a redemption notice is a material event for bondholders because it changes expected cash flows and extinguishes outstanding debt obligations on specified terms. The submitted content does not include the redemption date, redemption price, or whether the redemption is partial or full, so investors and analysts must review Exhibit 99.1 itself for the actionable details required to assess cash impact and timing.

Corporate Governance Expert

TL;DR: The company disclosed a redemption notice as an other event and filed the related exhibit; the filing text here lacks the substantive redemption mechanics.

As disclosed, the 8-K uses Item 8.01 and Item 9.01 and lists the redemption notice as an exhibit, which fulfills disclosure obligations to notify the market of a material event. The document excerpt does not provide information on board approvals, financing arrangements, or legal conditions tied to the redemption. For governance and compliance review, the actual exhibit should be examined to confirm whether the redemption conforms to indenture terms and required corporate approvals.

false 0001551901 0001551901 2025-08-28 2025-08-28 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of report (Date of earliest event reported): August 28, 2025

Stellus Capital Investment Corporation

(Exact Name of Registrant as Specified in its Charter)

Maryland		814-00971		46-0937320
(State or Other Jurisdiction of Incorporation)		(Commission File Number)		(IRS Employer Identification No.)
4400 Post Oak Parkway, Suite 2200 Houston, Texas				77027
(Address of Principal Executive Offices)				(Zip Code)

Registrant’s Telephone Number, Including Area Code: (713) 292-5400

Not applicable

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:
Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common Stock, par value $0.001 per share	SCM	New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ¨  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

Item 8.01. Other Events.

On August 28, 2025, Stellus Capital Investment Corporation (the “Company”) announced that it will redeem part of its outstanding 4.875% Notes due 2026 (the “2026 Notes”) pursuant to Section 1104 of the indenture, dated as of May 5, 2014, by and between the Company and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association) (the “Trustee”), as trustee, and Section 1.01(h) of the third supplemental indenture, dated as of January 14, 2021, by and between the Company and the Trustee. The Company will redeem 50% (or $50 million in aggregate principal amount of the $100,000,000 aggregate principal amount) of the outstanding 2026 Notes on September 30, 2025 (the “Redemption Date”). The redemption price for the 2026 Notes equals 100% of the $50,000,000 aggregate principal amount of the Notes being redeemed, plus accrued and unpaid interest otherwise payable for the current quarterly interest period accrued to, but excluding, the Redemption Date. This Current Report on Form 8-K does not constitute notice of redemption of the 2026 Notes. A copy of the notice of redemption is attached to this Current Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

Exhibit Number	Description
99.1	Notice of Redemption of 4.875% Notes due 2026
104	Cover Page Interactive Data File (embedded within the Inline XBRL Document)

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: August 28, 2025	Stellus Capital Investment Corporation
	By:	/s/ W. Todd Huskinson
		W. Todd Huskinson
		Chief Financial Officer, Chief Compliance Officer, Treasurer,  and Secretary

FAQ

What did SCM disclose in this 8-K filing?

The company disclosed an Item 8.01 Other Event and filed Exhibit 99.1, titled "Notice of Redemption of 4.875% Notes due 2026."

Does the provided text include the redemption date or redemption price for the 4.875% Notes due 2026?

No. The provided excerpt lists the exhibit description but does not include the redemption date, redemption price, or other redemption mechanics.

Which exhibit contains the notice of redemption?

Exhibit 99.1 is identified as the "Notice of Redemption of 4.875% Notes due 2026."

Under which items of the Form 8-K was the notice filed?

The notice is referenced under Item 8.01 (Other Events) and Item 9.01 (Financial Statements and Exhibits) in the filing excerpt.

What information is missing from this excerpt that investors typically need?

The excerpt lacks the full text of the redemption notice, including the redemption date, redemption price, whether redemption is partial or full, and the source of funds.