Stellus Capital CEO buys 36,700 SCM shares

Stellus Capital Investment Corp President and CEO Robert T. Ladd reported open-market purchases of the company’s common stock.

Accepted by SEC EDGAR 03/17/2026 - 05:08 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Stellus Capital Investment Corp President and CEO Robert T. Ladd reported open-market purchases of the company’s common stock. On March 13, 2026, he bought 35,000 shares at $8.70 per share. On March 16, 2026, he bought an additional 1,700 shares at $8.45 per share. Following these transactions, he directly owns 669,635.113 shares of Stellus Capital common stock. A footnote notes that some holdings include shares acquired through the company’s Dividend Reinvestment Plan.

Insider Trade Summary

Net Buyer: 36,700 shares

Net Buy 2 txns

Insider Ladd Robert T.

Role President and CEO

Bought 36,700 shs ($319K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	1,700	$8.45	$14K
Purchase	Common Stock	35,000	$8.70	$305K

Holdings After Transaction: Common Stock — 669,635.113 shares (Direct)

Footnotes (2)

1. 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.
2. F2. Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan.

FAQ

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What did Stellus Capital (SCM) CEO Robert Ladd report in this Form 4?

Robert T. Ladd reported buying Stellus Capital common stock in the open market. He purchased 35,000 shares at $8.70 and 1,700 shares at $8.45, increasing his direct ownership to 669,635.113 shares.

How many Stellus Capital (SCM) shares did the CEO buy and at what prices?

The CEO bought 36,700 Stellus Capital common shares across two trades. He acquired 35,000 shares at $8.70 per share on March 13, 2026, and 1,700 shares at $8.45 per share on March 16, 2026.

What is Robert Ladd’s total Stellus Capital (SCM) ownership after these purchases?

After the reported transactions, Robert T. Ladd directly holds 669,635.113 Stellus Capital common shares. This figure includes shares noted in the filing as having been acquired through the company’s Dividend Reinvestment Plan.

Were the Stellus Capital (SCM) CEO’s transactions open-market purchases?

Yes. The filing classifies both transactions as open-market purchases of Stellus Capital common stock, coded “P” and described as purchases in open market or private transactions, with no corresponding sales reported.

Does the Stellus Capital (SCM) Form 4 mention a dividend reinvestment plan?

Yes. A footnote explains that the reported holdings include shares acquired under Stellus Capital’s Dividend Reinvestment Plan, indicating that some of the CEO’s position was accumulated through automatic reinvestment of dividends.

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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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

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)
03/13/2026

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	03/13/2026		P		35,000	A	$8.7(1)	667,935.113(2)	D
Common Stock	03/16/2026		P		1,700	A	$8.45	669,635.113(2)	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. 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.

2. Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan.

	/s/ W. Todd Huskinson, attorney-in-fact	03/17/2026
	** 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.