Ladd Robert T. 4

4 · Stellus Capital Investment Corp · Filed Mar 17, 2026

AI-generated summary of this filing

Updated Mar 17, 2026

Stellus Capital (SCM) CEO Robert T. Ladd Buys 36,700 Shares

What Happened

Robert T. Ladd, President & CEO and a Director of Stellus Capital Investment Corp (SCM), purchased a total of 36,700 shares of the company's common stock in two transactions. On March 13, 2026 he acquired 35,000 shares at a weighted average price of $8.70 per share ($304,500). On March 16, 2026 he acquired 1,700 shares at $8.45 per share ($14,365). These were purchases (transaction code P), which represent insider buying rather than a sale.

Key Details

Transaction dates and prices:
- 2026-03-13: 35,000 shares @ $8.70 (weighted average) = $304,500
- 2026-03-16: 1,700 shares @ $8.45 = $14,365
Total shares bought: 36,700; total reported value: $318,865.
Shares owned after transaction: Not specified in the provided filing details.
Footnotes of note:
- F1: The $8.70 figure is a weighted average for the March 13 purchase; the price range for purchases that day was $8.56–$8.84. The filer offers to provide a breakdown of quantities at each price on request.
- F2: Some shares include those acquired under the Issuer's Dividend Reinvestment Plan (DRIP).
Filing timeliness: Form 4 was filed on 2026-03-17 covering transactions on 2026-03-13 and 2026-03-16. The filing appears timely (no late filing flag in the report).

Context

These were open-market/private purchases (code P), not option exercises or gifts—insider purchases can be interpreted as a personal investment but do not prove future company performance. No additional context (e.g., 10b5-1 plan) was indicated in the filing.

Form 4

Period: 2026-03-13

DirectorPresident and CEO

Transactions

Purchase
Common Stock
[F1][F2]
2026-03-13$8.70/sh+35,000$304,500→ 667,935.113 total
Purchase
Common Stock
[F2]
2026-03-16$8.45/sh+1,700$14,365→ 669,635.113 total

Footnotes (2)

[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.

Signature

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

1 file