Sec Form 4 Filing - Ladd Robert T. @ Stellus Capital Investment Corp - 2020-08-04

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

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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person Ladd Robert T. 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 (Last) (First) (Middle) C/O STELLUS CAPITAL INVESTMENT CORP, 4400 POST OAK PARKWAY, SUITE 2200 3. Date of Earliest Transaction (MM/DD/YY) 08/04/2020 (Street) HOUSTON, TX77027 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 08/04/2020 P 2,000 A $ 7.9893 578,653.85 ( 1 ) D Common Stock 08/04/2020 P 2,000 A $ 7.9934 580,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.9999 582,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.9956 584,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.9995 586,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.97 588,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.981 590,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.955 592,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.9425 594,653.85 D Common Stock 08/04/2020 P 2,000 A $ 7.9791 596,653.85 D Common Stock 08/06/2020 P 2,000 A $ 8.0568 598,653.85 D Common Stock 08/06/2020 P 2,000 A $ 8.0404 600,653.85 D Common Stock 08/06/2020 P 2,000 A $ 8.0602 602,653.85 D Common Stock 08/06/2020 P 2,000 A $ 8.055 604,653.85 D Common Stock 08/06/2020 P 2,000 A $ 8.034 606,653.85 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Ladd Robert T. C/O STELLUS CAPITAL INVESTMENT CORP 4400 POST OAK PARKWAY, SUITE 2200 HOUSTON, TX77027 X President and CEO Signatures /s/ W. Todd Huskinson, attorney-in-fact 08/06/2020 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 16.648 shares under the Issuer's Dividend Reinvestment Plan.

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).

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