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Insider transactions

EDGAR

Stellus Capital Investment Corp

Transactions reported by directors, officers and 10% owners on SEC Forms 3, 4 and 5, read from each filing’s XML. Codes and their wording are the SEC’s own.

A Form 4 is due within two business days of the transaction, so the most recent trades may not be filed yet.

Window: transactions dated on or after 2025-11-15.

Open-market purchases (code P): 11 transactions, 99,590 shares; Sum of shares × price per share: 870,923.85
Open-market sales (code S): 0 transactions, — shares

Totals add the filed transactions listed; they are counts of what was reported, not a measure of direction.

Showing 1–11 of 11

Insider transactions, newest first, as filed on SEC Forms 3, 4 and 5
Date	Reporting owner	Code	Acquired or disposed	Shares	Price per share, as filed	Value (derived)	Shares owned after	Direct or indirect	Rule 10b5-1 box	Notes	Source
2026-09-16 Filed 2026-09-17	Arnoult J Tim Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	1,000	7.97	7,970 Derived: shares × price per share. Exact value 7970.00.	53,569	Direct (D)	No	F1 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 $7.955 to $7.9777 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.	Open filing 0001104659-26-108591 Read from the filing’s XML Dispute this row
2026-06-23 Filed 2026-06-25	Arnoult J Tim Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	700	8.29	5,803 Derived: shares × price per share. Exact value 5803.00.	51,569	Direct (D)	No	—	Open filing 0001104659-26-077908 Read from the filing’s XML Dispute this row
2026-05-19 Filed 2026-06-25	Arnoult J Tim Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	9,000	9.05	81,450 Derived: shares × price per share. Exact value 81450.00.	50,869	Direct (D)	No	F1 F1 Transaction reported late due to an inadvertent administrative delay.	Open filing 0001104659-26-077908 Read from the filing’s XML Dispute this row
2026-05-13 Filed 2026-06-25	Arnoult J Tim Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	1,000	9.27	9,270 Derived: shares × price per share. Exact value 9270.00.	41,869	Direct (D)	No	F1 F1 Transaction reported late due to an inadvertent administrative delay.	Open filing 0001104659-26-077908 Read from the filing’s XML Dispute this row
2026-03-16 Filed 2026-03-17	Ladd Robert T. Director · Officer: President and CEO	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	1,700	8.45	14,365 Derived: shares × price per share. Exact value 14365.00.	669,635.113	Direct (D)	No	F2 F2 Includes shares acquired pursuant to the Issuer's Dividend Reinvestment Plan.	Open filing 0001104659-26-029592 Read from the filing’s XML Dispute this row
2026-03-13 Filed 2026-03-17	Ladd Robert T. Director · Officer: President and CEO	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	35,000	8.70	304,500 Derived: shares × price per share. Exact value 304500.00.	667,935.113	Direct (D)	No	F1, F2 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.	Open filing 0001104659-26-029592 Read from the filing’s XML Dispute this row
2026-03-13 Filed 2026-03-17	Huskinson W. Todd Officer: CFO and CCO	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	5,700	8.785	50,074.5 Derived: shares × price per share. Exact value 50074.500.	54,297	Direct (D)	No	F1 F1 Since the filing of the Reporting Person's last filing on Form 4 and before the transaction reported herein, the Reporting Person acquired 26,866 shares under the Issuer's Dividend Reinvestment Plan.	Open filing 0001104659-26-029593 Read from the filing’s XML Dispute this row
2026-03-13 Filed 2026-03-17	Bilger Bruce R Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	19,417	8.76	170,092.92 Derived: shares × price per share. Exact value 170092.92.	201,982	Direct (D)	No	F1 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 $8.70 to $8.80 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.	Open filing 0001104659-26-029596 Read from the filing’s XML Dispute this row
2026-03-13 Filed 2026-03-17	Bilger Bruce R Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	10,362	8.70	90,149.4 Derived: shares × price per share. Exact value 90149.40.	212,344	Direct (D)	No	F2 F2 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 $8.65 to $8.71 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.	Open filing 0001104659-26-029596 Read from the filing’s XML Dispute this row
2026-03-13 Filed 2026-03-17	Bilger Bruce R Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	11,111	8.73	96,999.03 Derived: shares × price per share. Exact value 96999.03.	223,455	Direct (D)	No	F3 F3 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 $8.65 to $8.81 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.	Open filing 0001104659-26-029596 Read from the filing’s XML Dispute this row
2026-03-13 Filed 2026-03-17	Bilger Bruce R Director	P Open market or private purchase of non-derivative or derivative security Common Stock	Acquired (A)	4,600	8.75	40,250 Derived: shares × price per share. Exact value 40250.00.	228,055	Direct (D)	No	—	Open filing 0001104659-26-029596 Read from the filing’s XML Dispute this row

Institutional holders (Form 13F)

Quarter ending 2026-09-30: 7,211 filings read, the latest filed 2026-11-13. Prior quarter ending 2026-06-30: 9,150 filings read.

Showing 1–50 of 50

Institutional holders, largest position first, as filed
Manager	Shares or principal	Value as filed	Change from the prior quarter	Source
Ethos Financial Group, LLC	464,097 SH	3,463,845 dollars	Higher by 246,904 Prior quarter: 217,193	Open filing 0001954242-26-000006 Filed 2026-11-12 Dispute this row
MORGAN STANLEY Partly reported under another manager	271,914 SH	2,017,608 dollars	Higher by 207,559 Prior quarter: 64,355	Open filing 0000895421-26-000309 Filed 2026-11-13 Dispute this row
Muzinich Co., Inc. Partly reported under another manager	262,816 SH	1,950,100 dollars	Higher by 7,790 Prior quarter: 255,026	Open filing 0001618824-26-000007 Filed 2026-10-22 Dispute this row
RAYMOND JAMES FINANCIAL INC Partly reported under another manager	259,234 SH	1,923,521 dollars	Higher by 6,413 Prior quarter: 252,821	Open filing 0000720005-26-000081 Filed 2026-11-12 Dispute this row
CONDOR CAPITAL MANAGEMENT	214,755 SH	1,593,487 dollars	Higher by 2,768 Prior quarter: 211,987	Open filing 0001082491-26-000004 Filed 2026-11-06 Dispute this row
Advisors Asset Management, Inc.	210,800 SH	1,564,136 dollars	Lower by 9,477 Prior quarter: 220,277	Open filing 0002000324-26-006103 Filed 2026-11-10 Dispute this row
Sumitomo Mitsui Trust Group, Inc. Partly reported under another manager	156,151 SH	1,158,640 dollars	Unchanged Prior quarter: 156,151	Open filing 0001214659-26-013361 Filed 2026-10-29 Dispute this row
Icon Wealth Advisors, LLC	135,686 SH	1,006,791 dollars	Higher by 150 Prior quarter: 135,536	Open filing 0001963212-26-000005 Filed 2026-11-13 Dispute this row
BOLTON SECURITIES CORPORATION	135,078 SH	1,002,278 dollars	Lower by 5,028 Prior quarter: 140,106	Open filing 0001457457-26-000016 Filed 2026-11-12 Dispute this row
BlackRock, Inc. Partly reported under another manager	98,990 SH	734,506 dollars	Lower by 10,472 Prior quarter: 109,462	Open filing 0002012383-26-003985 Filed 2026-11-13 Dispute this row
GABLES CAPITAL MANAGEMENT INC.	67,225 SH	498,810 dollars	Higher by 173 Prior quarter: 67,052	Open filing 0001740839-26-000005 Filed 2026-11-04 Dispute this row
LPL Financial LLC	64,870 SH	481,336 dollars	Lower by 198,486 Prior quarter: 263,356	Open filing 0001403438-26-000005 Filed 2026-11-06 Dispute this row
Squarepoint Ops LLC Partly reported under another manager	45,782 SH	339,702 dollars	Not in the prior quarter’s filings read	Open filing 0001642575-26-000012 Filed 2026-11-09 Dispute this row
PFG Investments, LLC	45,469 SH	337,380 dollars	Lower by 7,791 Prior quarter: 53,260	Open filing 0001754960-26-000997 Filed 2026-11-12 Dispute this row
Janney Montgomery Scott LLC Partly reported under another manager	39,500 SH	293 dollars	Lower by 3,333 Prior quarter: 42,833	Open filing 0001329948-26-000008 Filed 2026-11-12 Dispute this row
HRT FINANCIAL LP	38,997 SH	289 dollars	Not in the prior quarter’s filings read	Open filing 0001475597-26-000249 Filed 2026-11-13 Dispute this row
JANE STREET GROUP, LLC Partly reported under another manager	37,661 SH	279,445 dollars	Not in the prior quarter’s filings read	Open filing 0001595888-26-000162 Filed 2026-11-12 Dispute this row
Gallagher Capital Advisors, LLC	34,000 SH	252,280 dollars	Unchanged Prior quarter: 34,000	Open filing 0002085853-26-001131 Filed 2026-10-09 Dispute this row
Virtus Investment Advisers, LLC Partly reported under another manager	32,597 SH	241,870 dollars	Lower by 29,538 Prior quarter: 62,135	Open filing 0000019481-26-000011 Filed 2026-11-12 Dispute this row
Campbell CO Investment Adviser LLC	32,583 SH	241,766 dollars	Lower by 2,372 Prior quarter: 34,955	Open filing 0001140361-26-043564 Filed 2026-11-13 Dispute this row
CANADA LIFE ASSURANCE Co	29,252 SH	216 dollars	Lower by 5,495 Prior quarter: 34,747	Open filing 0001046192-26-000015 Filed 2026-11-13 Dispute this row
DOLIVER ADVISORS, LP	24,501 SH	181,797 dollars	Lower by 30,791 Prior quarter: 55,292	Open filing 0000938077-26-000009 Filed 2026-10-01 Dispute this row
Stonebridge Financial Group, LLC/CA	22,095 SH	165 dollars	Lower by 60 Prior quarter: 22,155	Open filing 0002142299-26-000002 Filed 2026-11-12 Dispute this row
Dynamic Technology Lab Private Ltd	18,396 SH	136,000 dollars	Not in the prior quarter’s filings read	Open filing 0001535387-26-000004 Filed 2026-11-13 Dispute this row
PNC Financial Services Group, Inc. Partly reported under another manager	18,000 SH	133,560 dollars	Higher by 5,000 Prior quarter: 13,000	Open filing 0001193125-26-450808 Filed 2026-11-06 Dispute this row
UBS Group AG Partly reported under another manager	17,016 SH	126,259 dollars	Higher by 4,907 Prior quarter: 12,109	Open filing 0001610520-26-000121 Filed 2026-11-10 Dispute this row
SANDERS MORRIS HARRIS LLC	14,046 SH	107,453 dollars	Higher by 98 Prior quarter: 13,948	Open filing 0001053994-26-000008 Filed 2026-10-14 Dispute this row
Concurrent Investment Advisors, LLC	12,909 SH	95,785 dollars	Lower by 1,000 Prior quarter: 13,909	Open filing 0002085853-26-001211 Filed 2026-10-16 Dispute this row
Significant Wealth Partners LLC	10,682 SH	79,260 dollars	Higher by 551 Prior quarter: 10,131	Open filing 0001376474-26-000705 Filed 2026-11-12 Dispute this row
Savant Capital, LLC	10,000 SH	74,200 dollars	Not in the prior quarter’s filings read	Open filing 0001482880-26-000015 Filed 2026-11-06 Dispute this row
CHILTON CAPITAL MANAGEMENT LLC	7,600 SH	56,392 dollars	Lower by 1,618 Prior quarter: 9,218	Open filing 0001056859-26-000011 Filed 2026-10-28 Dispute this row
SIMPLEX TRADING, LLC	6,136 SH	45,529 dollars	Not in the prior quarter’s filings read	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
OSAIC HOLDINGS, INC. Partly reported under another manager	5,934 SH	44,233 dollars	Higher by 567 Prior quarter: 5,367	Open filing 0001677044-26-000011 Filed 2026-11-12 Dispute this row
Clayton Financial Group LLC Partly reported under another manager	3,907 SH	28,990 dollars	Not in the prior quarter’s filings read	Open filing 0002011212-26-000005 Filed 2026-10-13 Dispute this row
Rockefeller Capital Management L.P. Partly reported under another manager	3,466 SH	25,719 dollars	Higher by 113 Prior quarter: 3,353	Open filing 0001739439-26-000009 Filed 2026-11-13 Dispute this row
Laurel Wealth Advisors LLC	2,083 SH	15,456 dollars	Not in the prior quarter’s filings read	Open filing 0001757128-26-000004 Filed 2026-10-27 Dispute this row
HIGHLINE WEALTH PARTNERS LLC Partly reported under another manager	2,010 SH	14,911 dollars	Lower by 1,528 Prior quarter: 3,538	Open filing 0002042654-26-000010 Filed 2026-10-19 Dispute this row
PRIVATE TRUST CO NA Partly reported under another manager	1,097 SH	8,140 dollars	Unchanged Prior quarter: 1,097	Open filing 0001277557-26-000004 Filed 2026-10-20 Dispute this row
NOMURA ASSET MANAGEMENT CO LTD	881 SH	6,537 dollars	Unchanged Prior quarter: 881	Open filing 0001140361-26-043322 Filed 2026-11-12 Dispute this row
GROUP ONE TRADING LLC	716 SH	5,313 dollars	Not in the prior quarter’s filings read	Open filing 0000932540-26-000017 Filed 2026-11-10 Dispute this row
JONES FINANCIAL COMPANIES LLLP Partly reported under another manager	500 SH	3,825 dollars	Unchanged Prior quarter: 500	Open filing 0001193125-26-459442 Filed 2026-11-13 Dispute this row
Key Financial Inc	500 SH	3,710 dollars	Unchanged Prior quarter: 500	Open filing 0001420506-26-002442 Filed 2026-11-02 Dispute this row
Arax Advisory Partners Partly reported under another manager	433 SH	3,213 dollars	Lower by 11,033 Prior quarter: 11,466	Open filing 0001586767-26-000009 Filed 2026-11-12 Dispute this row
Smartleaf Asset Management LLC	291 SH	2,212 dollars	Not in the prior quarter’s filings read	Open filing 0002010393-26-000006 Filed 2026-11-10 Dispute this row
Farther Finance Advisors, LLC	200 SH	1,484 dollars	Not in the prior quarter’s filings read	Open filing 0001992825-26-000006 Filed 2026-10-08 Dispute this row
WealthCollab, LLC Partly reported under another manager	129 SH	958 dollars	Not in the prior quarter’s filings read	Open filing 0002017870-26-000005 Filed 2026-11-12 Dispute this row
SIMPLEX TRADING, LLC Option: Call	100 SH	742 dollars	Not in the prior quarter’s filings read	Open filing 0001488542-26-000013 Filed 2026-11-04 Dispute this row
Caitong International Asset Management Co., Ltd	35 SH	260 dollars	Higher by 25 Prior quarter: 10	Open filing 0001628280-26-068135 Filed 2026-10-29 Dispute this row
DANSKE BANK A/S	3 SH	22 dollars	Higher by 2 Prior quarter: 1	Open filing 0001104659-26-124081 Filed 2026-11-09 Dispute this row
CITIGROUP INC Partly reported under another manager	1 SH	7 dollars	Not in the prior quarter’s filings read	Open filing 0000831001-26-000052 Filed 2026-11-04 Dispute this row

Managers in the prior quarter with no filing read for the latest

They may simply not have filed yet: absent from the latest quarter’s filings read is not the same as a position sold.

Corient Private Wealth LP 284,746 SH
Legal General Group Plc 238,329 SH
Samjo Management, LLC 133,700 SH
MILLENNIUM MANAGEMENT LLC 96,424 SH
Inspire Advisors, LLC 86,232 SH
Trexquant Investment LP 63,649 SH
XTX Topco Ltd 57,978 SH
BANK OF AMERICA CORP /DE/ 57,317 SH
MARSHALL WACE, LLP 48,843 SH
CITADEL ADVISORS LLC 46,090 SH
TWO SIGMA INVESTMENTS, LP 28,812 SH
SUSQUEHANNA INTERNATIONAL GROUP, LLP 23,000 SH
SUSQUEHANNA INTERNATIONAL GROUP, LLP 19,531 SH
Qube Research Technologies Ltd 19,464 SH
ROYAL BANK OF CANADA 17,817 SH
OPPENHEIMER CO INC 15,329 SH
WELLS FARGO COMPANY/MN 12,681 SH
CITADEL ADVISORS LLC 11,400 SH
Mariner, LLC 11,000 SH
JANE STREET GROUP, LLC 10,900 SH
Integrated Wealth Concepts LLC 3,044 SH
Aquatic Capital Management LLC 1,612 SH
State of Alaska, Department of Revenue 1,166 SH
Tower Research Capital LLC (TRC) 1,158 SH
Crewe Advisors LLC 1,030 SH
Aventura Private Wealth, LLC 472 SH
VALLEY NATIONAL ADVISERS INC 200 SH
JPMORGAN CHASE CO 132 SH
BFC Planning, Inc. 124 SH
BERTHEL, FISHER COMPANY FINANCIAL SERVICES, INC. 124 SH

Form 13F covers long positions in Section 13(f) securities only: no short positions and no securities outside that list.
A manager that has not yet filed for the latest quarter is absent, not at zero; filings are due up to 45 days after quarter end.
A change is the difference between two quarter-end snapshots, not a trade.
A position reported under another manager may also appear in that manager’s filing; rows are not added together.
Holdings the securities list cannot place with this company, or places ambiguously, are not shown.

5% holders (Schedule 13D and 13G)

Schedules filed in the SEC’s structured format (late 2024 onward) are read here. Earlier schedules are free text and are not read.

No Schedule 13D or 13G naming this issuer is in the store; this is not a statement that none were filed.

What was read

2,024,280 filings read, dated 2004-06-14 to 2026-11-13: Forms 3, 3/A, 4, 4/A, 5, 5/A.

Years can be incomplete while the archive is still being read. A year with few filings here is not a statement that few were made.

Filings read, by filing year
Filing year	Filings read
2015	1
2016	204,322
2017	202,494
2018	202,048
2019	193,638
2020	144,184
2021	224,474
2022	40,015
2023	199,811
2024	117,969
2025	235,520
2026	254,026

Filings made before the SEC required XML are listed, not extracted.

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