SCM / Stellus Capital Investment Corporation - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

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 Inv

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.

NOTICE OF REDEMPTION TO THE HOLDERS OF THE 4.875% Notes due 2026 of Stellus Investment Corporation (CUSIP No. 858568 AB4)* Redemption Date: September 30, 2025

Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 4.875% Notes due 2026 of Stellus Investment Corporation (CUSIP No. 858568 AB4)* Redemption Date: September 30, 2025 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the indenture, dated as of May 5, 2014 (the “Base Indenture”), by and between Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and U.S. Bank Trus

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00971 STELLUS CAPITAL INVESTMENT

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): June 20, 2025 (June 17, 2025) Stell

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): June 20, 2025 (June 17, 2025) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00971 STELLUS CAPITAL INVESTMEN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive

* * *

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

Underwriting Agreement, dated March 25, 2025, by and among Stellus Capital Investment Corporation, Stellus Capital Management, LLC and Raymond James & Associates, Inc., as representative of the several underwriters named in Exhibit A thereto.

  Exhibit 1.1   EXECUTION VERSION   STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation)   $75,000,000   7.25% Notes due 2030   UNDERWRITING AGREEMENT   March 25, 2025   Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibit A   c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716   Ladies and Gentlemen:   Each

Fourth Supplemental Indenture, dated as of April 1, 2025, by and between Stellus Capital Investment Corporation and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association), as trustee.

Exhibit 4.1 FOURTH SUPPLEMENTAL INDENTURE between STELLUS CAPITAL INVESTMENT CORPORATION and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of April 1, 2025 THIS FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of April 1, 2025, is between Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and U.S. Bank Trust Company, N

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): April 2, 2025 (April 1, 2025) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): March 28, 2025 (March 25, 2025) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

Underwriting Agreement, dated March 25, 2025, by and among Stellus Capital Investment Corporation, Stellus Capital Management, LLC and Raymond James & Associates, Inc., as representatives of the several underwriters named in Exhibit A thereto.

  Exhibit 1.1   EXECUTION VERSION   STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation)   $75,000,000   7.25% Notes due 2030   UNDERWRITING AGREEMENT   March 25, 2025   Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibit A   c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716   Ladies and Gentlemen:   Each

STELLUS CAPITAL INVESTMENT CORPORATION 7.25% NOTES DUE 2030

 Filed Pursuant to Rule 424(b)(2)   Registration No. 333-265695 PROSPECTUS SUPPLEMENT (To Prospectus Dated August 22, 2022) STELLUS CAPITAL INVESTMENT CORPORATION $75,000,000 7.25% NOTES DUE 2030 We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company Act of 1940,

STELLUS CAPITAL INVESTMENT CORPORATION 7.25% Notes due 2030 PRICING TERM SHEET March 25, 2025

Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated March 25, 2025 Relating to Preliminary Prospectus Supplement dated March 25, 2025 and Prospectus dated August 22, 2022 Registration No.

SUBJECT TO COMPLETION, DATED MARCH 25, 2025

This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive

Insider Trading Policy

Exhibit 19.1 STELLUS PRIVATE CREDIT BDC AND STELLUS CAPITAL INVESTMENT CORPORATION STATEMENT OF POLICY ON INSIDER TRADING Introduction It is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material, non-public information. It is also illegal to communicate (or “tip”) material, non-public information to others who may trade in securities on t

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 001-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00971 STELLUS CAPITAL INVES

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): November 1, 2024 (October 30, 2024) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

Increase Agreement, dated October 30, 2024, between the Company, as a borrower, Zions Bancorporation, N.A. dba Amegy Bank, as the administrative agent, and the lenders that are party thereto.

Exhibit 10.1 INCREASE AGREEMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS INCREASE AGREEMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of October 30, 2024 (this “Agreement”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent (the “

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT C

Submission of Matters to a Vote of Security Holders

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): June 20, 2024 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive

Letter of Grant Thornton LLP, dated April 5, 2024.

Exhibit 16.1 GRANT THORNTON LLP 500 N. Akard, Suite 1200 Dallas, TX 75201 D +1 214 561 2300 F +1 214 561 2370 April 5, 2024 U.S. Securities and Exchange Commission Office of the Chief Accountant 100 F Street, NE Washington, DC 20549 Re: Stellus Capital Investment Corporation File No. 814-00971 Dear Sir or Madam: We have read Item 4.01 of Form 8-K of Stellus Capital Investment Corporation dated Apr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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): April 3, 2024 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 001-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

Dodd-Frank Compensation Recoupment Policy*

Exhibit 97.1 STELLUS CAPITAL INVESTMENT CORPORATION DODD-FRANK COMPENSATION RECOUPMENT POLICY The Board of Directors of Stellus Capital Investment Corporation has adopted the following Dodd-Frank Compensation Recoupment Policy effective as of October 2, 2023. It is the intention of the Board that this Dodd-Frank Compensation Recoupment Policy be interpreted and administered in a manner consistent

Fourth Amendment to Amended and Restated Senior Secured Revolving Credit Agreement, dated as of November 21, 2023, among Stellus Capital Investment Corporation, the lenders party thereto, and Zions Bancorporation, N.A. dba Amegy Bank, as the administrative agent.

Exhibit 10.1 FOURTH AMENDMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS FOURTH AMENDMENT TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of November 21, 2023 (this “Amendment”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): November 22, 2023 (November 21, 2023) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTM

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 11, 2023 Stellus Capital Inv

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 11, 2023 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

Equity Distribution Agreement, dated August 11, 2023, by and among Stellus Capital Investment Corporation and Stellus Capital Management, LLC, on the one hand, and Keefe, Bruyette & Woods, Inc. and Raymond James & Associates, Inc. on the other hand (Incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K (File No. 814-00971), filed on August 14, 2023).

Exhibit 10.1 STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) Common Stock, Par Value $0.001 Per Share EQUITY DISTRIBUTION AGREEMENT Dated as of August 11, 2023 TABLE OF CONTENTS SECTION PAGE 1. Representations and Warranties by the Company 2 2. Representations and Warranties of the Adviser 11 3. Placements 14 4. Sale of Placement Securities by the Placement Agent 14 5. Suspension o

$100,000,000 STELLUS CAPITAL INVESTMENT CORPORATION Common stock

Table of Contents  Filed Pursuant to Rule 424(b)(2)   Registration No. 333-265695 PROSPECTUS SUPPLEMENT (To Prospectus Dated August 22, 2022) $100,000,000 STELLUS CAPITAL INVESTMENT CORPORATION Common stock We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Company A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT C

Submission of Matters to a Vote of Security Holders

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): June 22, 2023 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.

CUSTODY AGREEMENT dated as of November 2, 2022 by and between Stellus Capital SBIC LP (“Company”) and FROST BANK, a Texas state bank

Exhibit 10.2 CUSTODY AGREEMENT dated as of November 2, 2022 by and between Stellus Capital SBIC LP (“Company”) and FROST BANK, a Texas state bank (“Custodian”) TABLE OF CONTENTS Page 1. DEFINITIONS 1 2. APPOINTMENT OF CUSTODIAN 3 3. DUTIES OF CUSTODIAN 4 4. REPORTING 6 5. CERTAIN GENERAL TERMS 6 6. COMPENSATION OF CUSTODIAN 8 7. RESPONSIBILITY OF CUSTODIAN 8 8. SECURITY CODES 12 9. TAX LAW 12 10.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT

our Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 25, 2023;

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive

our Annual Report on Form 10-K for fiscal year ended December 31, 2022, filed with the SEC on February 28, 2023;

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 001-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Custody Agreement, dated November 2, 2022, by and among Stellus Capital SBIC LP and Frost Bank, as custodian. (Incorporated by reference to Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q (File No. 814-00971), filed on November 3, 2022).

? Exhibit 10.2 ? ? ? ? ? CUSTODY AGREEMENT dated as of November 2, 2022 by and between ? ? ? Stellus Capital SBIC LP (?Company?) and FROST BANK, a Texas state bank (?Custodian?) ? ? ? ? TABLE OF CONTENTS ? ? ? ? ? ? Page 1. ? DEFINITIONS 1 2. ? APPOINTMENT OF CUSTODIAN 3 3. ? DUTIES OF CUSTODIAN 4 4. ? REPORTING 6 5. ? CERTAIN GENERAL TERMS 6 6. ? COMPENSATION OF CUSTODIAN 8 7. ? RESPONSIBILITY OF

Amended and Restated Equity Distribution Agreement, dated August 29, 2022 between Registrant and sales agent (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8 K (File No. 814-00971), filed on August 29, 2022).

Exhibit 10.1 STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) Common Stock, Par Value $0.001 Per Share AMENDED AND RESTATED EQUITY DISTRIBUTION AGREEMENT Dated as of August 29, 2022 TABLE OF CONTENTS SECTION PAGE 1. Representations and Warranties by the Company 2 2. Representations and Warranties of the Adviser 11 3. Placements 14 4. Sale of Placement Securities by the Placement Age

$50,000,000 STELLUS CAPITAL INVESTMENT CORPORATION Common stock

Table of Contents ?Filed Pursuant to Rule 424(b)(2) ? Registration No. 333-265695 PROSPECTUS SUPPLEMENT (To Prospectus Dated August 22, 2022) $50,000,000 STELLUS CAPITAL INVESTMENT CORPORATION Common stock ? We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (?BDC?) under the Investment Company

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 29, 2022 (August 29, 2022) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

* * *

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

ACCOUNTING COMMENTS

CORRESP 1 filename1.htm Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0176 F: +1 202.637.3593 [email protected] August 19, 2022 Daniel Greenspan, Senior Counsel Ken Ellington, Staff Accountant Securities and Exchange Commission Division of Investment Management 100 F Street NE Washington, DC 20549 Re: Stellus Capita

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Submission of Matters to a Vote of Security Holders

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): June 24, 2022 (June 23, 2022) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Third Amendment and Commitment Increase to Amended and Restated Senior Secured Revolving Credit Agreement, dated as of May 13, 2022, between the Registrant, as borrower, the lenders party thereto, and Zions Bancorporation, N.A. dba Amegy Bank, as the administrative agent. (Incorporated by reference to Exhibit 10.1 to the Registrant's Current Report on Form 8-K (File No. 814-00971), filed on May 19, 2022).

Exhibit 10.1 THIRD AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS THIRD AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of May 13, 2022 (this ?Amendment?), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the ?Borrower?), the LENDERS party hereto, and ZIONS

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): May 13, 2022 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

10-Q 1 tm2211961-110q.htm 10-Q TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35

our Definitive Proxy Statement filed pursuant to Section 14(a) of the Securities Exchange Act of 1934, filed with the SEC on April 22, 2022;

? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ?

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ?

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

TABLE OF CONTENTS ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Description of Securities (Incorporated by reference to Exhibit 4.8 to the Registrant’s Current Report on Form 10-K (File No. 814-00971), filed on March 1, 2022).

? Exhibit 4.8? DESCRIPTION OF SECURITIES The following is a brief description of the securities of Stellus Capital Investment Corporation (the ?Company,? ?we,? ?our? or ?us?), registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?). This description of our securities does not purport to be complete and is subject to and qualified in its entirety by

First Amendment and Commitment Increase to Amended and Restated Senior Secured Revolving Credit Agreement, dated December 22, 2021, between the Registrant, as a borrower, the lenders party thereto and ZB, N.A. dba Amegy Bank, as administrative agent (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 814-00971), filed on December 22, 2021).

Exhibit 10.1 FIRST AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS FIRST AMENDMENT AND COMMITMENT INCREASE TO AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of December 22, 2021 (this ?Amendment?), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the ?Borrower?), the LENDERS party hereto, and

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): December 22, 2021 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Stellus Capital Investment Corporation Investor Day December 14, 2021 HOUSTON, TX WASHINGTON D.C. CHARLOTTE, NC

Exhibit 99.1 Stellus Capital Investment Corporation Investor Day December 14, 2021 HOUSTON, TX WASHINGTON D.C. CHARLOTTE, NC | 2 Disclaimer THIS PRESENTATION IS FOR INFORMATIONAL PURPOSES ONLY . THE INFORMATION CONTAINED HEREIN IS NOT INTENDED TO PROVIDE, AND SHOULD NOT BE RELIED UPON FOR, ACCOUNTING, LEGAL OR TAX ADVICE OR INVESTMENT RECOMMENDATIONS . THIS PRESENTATION IS NEITHER AN OFFER TO SELL

Regulation FD Disclosure, Financial Statements and Exhibits

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): December 14, 2021 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

$50,000,000 Stellus Capital Investment Corporation Common stock

TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(2)? ?Registration No. 333-231111? PROSPECTUS SUPPLEMENT (To Prospectus Dated June 21, 2019) ? $50,000,000 Stellus Capital Investment Corporation Common stock ? We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (?BDC?) under the Investment Company

Equity Distribution Agreement, dated November 16, 2021 between Registrant and sales agent (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K

Exhibit 10.1 EXECUTION VERSION STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) Common Stock, Par Value $0.001 Per Share EQUITY DISTRIBUTION AGREEMENT Dated as of November 16, 2021 TABLE OF CONTENTS SECTION PAGE 1. Representations and Warranties by the Company 2 2. Representations and Warranties of the Adviser 11 3. Placements 13 4. Sale of Placement Securities by the Placement Agen

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): November 16, 2021 (November 16, 2021) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Other Events

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): November 12, 2021 (November 12, 2021) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Subject to Completion Preliminary Prospectus Supplement dated November 11, 2021

TABLE OF CONTENTS The information in this prospectus supplement is not complete and may be changed.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

Submission of Matters to a Vote of Security Holders

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): June 25, 2021 (June 24, 2021) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

our Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 23, 2021

? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ?

- PRE 14A

? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 ? Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? ?

Annual Report - 10-K

TABLE OF CONTENTS ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Description of Securities

Exhibit 4.8 DESCRIPTION OF SECURITIES The following is a brief description of the securities of Stellus Capital Investment Corporation (the ?Company,? ?we,? ?our? or ?us?), registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?). This description of our securities does not purport to be complete and is subject to and qualified in its entirety by re

EX-99.25

EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 01, 2021, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d2-

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): January 14, 2021 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Third Supplemental Indenture between the Registrant and U.S. Bank National Association, date January 14, 2021 (Incorporated by reference Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File No 814-00971), filed on January 14, 2021).

Exhibit 4.1 Execution Version THIRD SUPPLEMENTAL INDENTURE between STELLUS CAPITAL INVESTMENT CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of January 14, 2021 THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of January 14, 2021, is between Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and U.S. Bank National A

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 13, 2021 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in its Charter) Maryland 814-00971 46-0937320 (State of Other Jurisdiction of Incorporat

NOTICE OF REDEMPTION TO THE HOLDERS OF THE 5.75% Senior Notes due 2022 of Stellus Capital Investment Corporation (CUSIP No. 858568 306; NYSE: SCA)* Redemption Date: February 12, 2021

Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 5.75% Senior Notes due 2022 of Stellus Capital Investment Corporation (CUSIP No. 858568 306; NYSE: SCA)* Redemption Date: February 12, 2021 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of May 5, 2014 (the “Base Indenture”), between Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), an

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K

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): January 11, 2021 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Underwriting Agreement, dated as of January 11, 2021, by and among Stellus Capital Investment Corporation, Stellus Capital Management, LLC and Raymond James & Associates, Inc.

Exhibit 1.1 EXECUTION VERSION STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) $100,000,000 4.875% Notes due 2026 UNDERWRITING AGREEMENT January 11, 2021 Raymond James & Associates, Inc. As representative of the several underwriters named in Exhibit A c/o Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Each of Stellus Capital

Stellus Capital Investment Corporation 4.875% Notes due 2026

TABLE OF CONTENTS  Filed Pursuant to Rule 424(b)(2)  Registration No. 333-231111 PROSPECTUS SUPPLEMENT (To Prospectus Dated June 21, 2019) Stellus Capital Investment Corporation $100,000,000 4.875% Notes due 2026 We are an externally managed, closed-end, non-diversified management investment company that has elected to be regulated as a business development company (“BDC”) under the Investment Com

- POS EX

As filed with the Securities and Exchange Commission on January 11, 2021 Securities Act File No.

SUBJECT TO COMPLETION, DATED JANUARY 11, 2021

TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.

Consent of Grant Thornton LLP*

Exhibit n.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our reports dated March 2, 2020 with respect to the consolidated financial statements and financial highlights and internal control over financial reporting of Stellus Capital Investment Corporation for the year ended December 31, 2019, which are incorporated by reference in this Prospectus and Registration Stateme

Report of Grant Thornton LLP with respect to the “Senior Securities” table.*

Exhibit n.4 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors and Shareholders Stellus Capital Investment Corporation Opinion on financial statement schedule We have audited in accordance with the standards of the Public Company Accounting Oversight Board (United States) (“PCAOB”) the consolidated financial statements of Stellus Capital Investment Corporation and subsidiar

Stellus Capital Investment Corporation $100,000,000 4.875% Notes due 2026 PRICING TERM SHEET January 11, 2021

Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated January 11, 2021 Relating to Preliminary Prospectus Supplement dated January 11, 2021 and Prospectus dated June 21, 2019 Registration No.

Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

September 21, 2020

Exhibit 99.1 September 21, 2020 Stellus Capital Investment Corporation Amends and Extends Its Revolving Credit Facility HOUSTON— September 21, 2020 (PR NEWSWIRE) — Stellus Capital Investment Corporation (the “Company”) (NYSE: SCM) announced today that on September 18, 2020 it entered into an amendment and extension of its $230 million Senior Secured Revolving Credit Agreement (the “Facility”). The

Amended and Restated Senior Secured Revolving Credit Agreement, dated September 18, 2020, between the Registrant, as a borrower, the lenders party thereto and ZB, N.A. dba Amegy Bank, as administrative agent (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 814-00971), filed on September 21, 2020).

Exhibit 10.1 AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of September 18, 2020 among STELLUS CAPITAL INVESTMENT CORPORATION as Borrower ZIONS BANCORPORATION, N.A. dba AMEGY BANK as Administrative Agent and THE LENDERS PARTY HERETO FROST BANK as Documentation Agent CADENCE BANK, N.A. and HANCOCK WHITNEY BANK as Co-Syndication Agents ZIONS BANCORPORATION, N.A. dba AMEGY B

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

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): September 18, 2020 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

Stellus Capital Investment Corporation Provides an Update on its Second Fiscal Quarter Results

Exhibit 99.1 Stellus Capital Investment Corporation Provides an Update on its Second Fiscal Quarter Results HOUSTON— July 8, 2020 (PR NEWSWIRE) — Stellus Capital Investment Corporation (NYSE: SCM) (“Stellus” or “the Company”) today provided an update for its second fiscal quarter ended June 30, 2020. Prior to reporting second quarter results later in July, Stellus reports the following: · all borr

Regulation FD Disclosure, Financial Statements and Exhibits

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): July 8, 2020 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Submission of Matters to a Vote of Security Holders

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): June 26, 2020 (June 25, 2020) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of

Third Amendment to Senior Secured Revolving Credit Agreement and Commitment Increase, dated May 15, 2020, between the Registrant, as a borrower, the lenders party thereto and ZB, N.A. dba Amegy Bank, as administrative agent (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 814-00971), filed on May 18, 2020).

Exhibit 10.1 THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE THIS THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE dated as of May 15, 2020 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CA

Stellus Capital Investment Corporation Increases and Extends Its Revolving Credit Facility Facility Upsized by $10 million to $230 million and Final Maturity Extended to March 10, 2021 with Pricing and Advance Rates Remaining Unchanged

Exhibit 99.1 Stellus Capital Investment Corporation Increases and Extends Its Revolving Credit Facility Facility Upsized by $10 million to $230 million and Final Maturity Extended to March 10, 2021 with Pricing and Advance Rates Remaining Unchanged HOUSTON— May 18, 2020 (PR NEWSWIRE) — Stellus Capital Investment Corporation (the “Company”) (NYSE: SCM) announced today that it has increased commitme

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): May 15, 2020 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of

Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

April 20, 2020

Exhibit 99.1 April 20, 2020 Stellus Capital Investment Corporation Announces Transition of Dividend from Monthly to Quarterly and to Report Quarterly Results and Hold Conference Call HOUSTON— April 20, 2020 (PR NEWSWIRE) — Stellus Capital Investment Corporation (the “Company”) (NYSE: SCM) announced today that it will change its dividend payment schedule from monthly to quarterly beginning with the

Financial Statements and Exhibits, Other Events

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): April 20, 2020 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

our Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 16, 2020

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive

* * *

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

CORRESP

SCM / Stellus Capital Investment Corporation PRE 14A - - SCHEDULE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive

Increase Agreement, dated December 27, 2019, between the Registrant, as a borrower, the lenders party thereto and ZB, N.A. dba Amegy Bank, as administrative agent (Incorporated by reference to Exhibit 10.12 to the Registrant’s Current Report on Form 10-K (File No. 814-00971), filed on March 3, 2020).

Exhibit 10.12 INCREASE AGREEMENT THIS INCREASE AGREEMENT dated as of December 27, 2019 (this “Agreement”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), the LENDERS party hereto, and ZIONS BANCORPORATION, N.A. dba AMEGY BANK, as Administrative Agent. Capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Ar

Description of Securities

Exhibit 4.7 DESCRIPTION OF SECURITIES The following is a brief description of the securities of Stellus Capital Investment Corporation (the “Company,” “we,” “our” or “us”), registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). This description of our securities does not purport to be complete and is subject to and qualified in its entirety by re

SCM / Stellus Capital Investment Corporation 10-K - Annual Report - FORM 10-K

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exa

SCA / Stellus Capital Investment Corp 10-Q - Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

Second Amendment to Senior Secured Revolving Credit Agreement and Commitment Increase, dated September 13, 2019, between the Registrant, as a borrower, the lenders party thereto and ZB, N.A. dba Amegy Bank, as administrative agent (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 814-00971), filed on September 18, 2019).

Exhibit 10.1 SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE THIS SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE dated as of September 13, 2019 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among ST

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): September 13, 2019 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

SCA / Stellus Capital Investment Corp POS EX - - POS EX

As filed with the Securities and Exchange Commission on September 9, 2019 Securities Act File No.

Opinion Constant of Eversheds Sutherland (US) LLP, counsel to the Registrant.*

Exhibit (l)(2) Eversheds Sutherland (US) LLP September 9, 2019 Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 Ladies and Gentlemen: We have acted as counsel to Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), in connection with the preparation and filing of the registration statement on Form N-2 (File No.

At Market Issuance Sales Agreement, dated September 9, 2019, by and between the Registrant, Stellus Capital Management, LLC and Raymond James & Associates, Inc.*

Exhibit (h)(2) EXECUTION VERSION STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.

Financial Statements and Exhibits, Other Events

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 21, 2019 Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Stellus Capital Investment Corporation Receives Approval for Its Second SBIC License

Exhibit 99.1 Stellus Capital Investment Corporation Receives Approval for Its Second SBIC License August 21, 2019 HOUSTON—August 21, 2019 (PR NEWSWIRE)-Stellus Capital Investment Corporation (the “Company”) (NYSE: SCM), a business development company, today announced that its wholly-owned subsidiary, Stellus Capital SBIC II, LP ("Stellus SBIC"), has received approval for a license from the United

SCA / Stellus Capital Investment Corp 10-Q - Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

Submission of Matters to a Vote of Security Holders

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): July 26, 2019 (July 22, 2019) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

SCA / Stellus Capital Investment Corp DEFA14A - - DEFA14A

DEFA14A 1 tv524347defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Prox

SCA / Stellus Capital Investment Corp DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of

SCA / Stellus Capital Investment Corp CORRESP - -

Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 (713) 292-5400 June 20, 2019 VIA EDGAR U.

SCA / Stellus Capital Investment Corp CORRESP - -

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

SCA / Stellus Capital Investment Corp DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

SCA / Stellus Capital Investment Corp DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of

SCA / Stellus Capital Investment Corp 10-Q Quarterly Report FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

SCA / Stellus Capital Investment Corp DEF 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e

SCA / Stellus Capital Investment Corp PRE 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e

SCA / Stellus Capital Investment Corp CORRESP - -

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

Underwriting Agreement, dated March 15, 2019, by and among the Registrant, Stellus Capital Management, LLC and Raymond James & Associates, Inc. and Keefe, Bruyette and Woods, Inc., as representatives to the several underwriters named in Exhibit A thereto.*

Exhibit (h) STELLUS CAPITAL INVESTMENT CORPORATION (a Maryland Corporation) 2,750,000 Shares of Common Stock Par Value $0.

Opinion and Consent of Eversheds Sutherland (US) LLP, counsel to the Registrant.*

Exhibit (l)(2) [Letterhead of Eversheds Sutherland (US) LLP] March 15, 2019 Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 Ladies and Gentlemen: We have acted as counsel to Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), in connection with the preparation and filing of the registration statement on Form N-2 (File No.

SCA / Stellus Capital Investment Corp POS EX

As filed with the Securities and Exchange Commission on March 18, 2019 Securities Act File No.

SCA / Stellus Capital Investment Corp POS EX

As filed with the Securities and Exchange Commission on March 14, 2019 Securities Act File No.

Consent of Grant Thornton LLP.*

Exhibit (n)(3) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our reports dated March 5, 2019 with respect to the consolidated financial statements and financial highlights and internal control over financial reporting of Stellus Capital Investment Corporation (the “Company”) for the year ended December 31, 2018, and our report dated March 14, 2019 with respect to the Senior Securities table as of December 31, 2018, which are contained in the Prospectus Supplement filed by the Company with the U.

Report of Grant Thornton LLP with respect to the “Senior Securities” table. (Incorporated by reference to Exhibit (n)(4) to the Registrant's Registration Statement on Form N-2 (File No. 333-216138), filed on March 14, 2019).

Exhibit (n)(4) REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors and Shareholders Stellus Capital Investment Corporation Opinion on financial statement schedule We have audited in accordance with the standards of the Public Company Accounting Oversight Board (United States) (“PCAOB”) the consolidated financial statements of Stellus Capital Investment Corporation and subsidiaries (the “Company”) referred to in our report dated March 5, 2019, which is included in the Prospectus Supplement filed by the Company with the U.

SCA / Stellus Capital Investment Corp 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-00971 STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of regis

SCA / Stellus Capital Investment Corp FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (

SCA / Stellus Capital Investment Corp 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exact

First Amendment to Senior Secured Revolving Credit Agreement and Commitment Increase, dated August 2, 2018, between the Registrant, as a borrower, the lenders party hereto and ZB, N.A. dba Amegy Bank, as administrative agent.

Exhibit 10.1 FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE THIS FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE dated as of August 2, 2018 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS

Other Events, Submission of Matters to a Vote of Security Holders

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): July 2, 2018 (June 28, 2018) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 6, 2018 with respect to the consolidated financial statements and internal control over financial reporting of Stellus Capital Investment Corporation for the year ended December 31, 2017, and our report dated May 14, 2018 with respect to the Senior Securities table as of December 31, 2017, which are contained in this Prospectus and Registration Statement.

SCA / Stellus Capital Investment Corp POS 8C

As filed with the Securities and Exchange Commission on June 28, 2018 Securities Act File No.

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

EX-99.(N)(1) 2 tv496687ex99-n1.htm EXHIBIT 99.(N)(1) Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 6, 2018 with respect to the consolidated financial statements and internal control over financial reporting of Stellus Capital Investment Corporation for the year ended December 31, 2017, and our report dated May 11, 2018 with respect to

SCA / Stellus Capital Investment Corp POS 8C

As filed with the Securities and Exchange Commission on June 27, 2018 Securities Act File No.

SCA / Stellus Capital Investment Corp CORRESP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

SCA / Stellus Capital Investment Corp DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

SCA / Stellus Capital Investment Corp DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

As filed with the Securities and Exchange Commission on May 14, 2018 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 STELLUS CAPITAL INVESTMENT CORPORATION 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 (713) 292-5400 Rob

As filed with the Securities and Exchange Commission on May 14, 2018 Securities Act File No.

Eversheds Sutherland (US) LLP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

Board of Directors and Shareholders

Exhibit (n)(2) REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors and Shareholders Stellus Capital Investment Corporation Opinion on financial statement schedule We have audited in accordance with the standards of the Public Company Accounting Oversight Board (United States) (“PCAOB”) the consolidated financial statements of Stellus Capital Investment Corporation and subsidiaries (the “Company”) referred to in our report dated March 6, 2018, which is included in the Prospectus and Registration Statement.

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 6, 2018 with respect to the consolidated financial statements and internal control over financial reporting of Stellus Capital Investment Corporation for the year ended December 31, 2017, and our report dated May 14, 2018 with respect to the Senior Securities table as of December 31, 2017, which are contained in this Prospectus and Registration Statement.

Consent and Waiver, dated March 28, 2018, between the Registrant, as a borrower, the lenders party hereto and ZB, N.A. dba Amegy Bank, as administrative agent.

Exhibit 10.1 CONSENT AND WAIVER THIS CONSENT AND WAIVER, dated effective as of March 28, 2018 (this “Consent”), is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland corporation (the “Borrower”), ZB, N.A. dba Amegy Bank, as Administrative Agent (in such capacity, the “Administrative Agent”), and the Lenders party hereto. Capitalized terms used herein and not otherwise defined shall have the

SCA / Stellus Capital Investment Corp FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exac

SCA / Stellus Capital Investment Corp DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive

SCA / Stellus Capital Investment Corp CORRESP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

SCA / Stellus Capital Investment Corp CORRESP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

SCA / Stellus Capital Investment Corp PRELIMINARY PROXY STATEMENT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 6, 2018 (April 4, 2018) STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdiction

SCA / Stellus Capital Investment Corp CORRESP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

SCA / Stellus Capital Investment Corp PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive

SCA / Stellus Capital Investment Corp 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registr

SCA / Stellus Capital Investment Corp FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (

Custody Agreement between Registrant and ZB, National Association (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 814-00971), filed on November 7, 2017).

Exhibit 10.1 CUSTODY AGREEMENT Stellus Capital Investment Corporation (the ?Company?) and any its wholly owned subsidiaries identified by the Company to the Custodian (the ?Subsidiaries?) are depositing with ZB, National Association, dba Amegy Bank, as Custodian, hereinafter referred to as the "Custodian", certain Securities (as defined below) and cash owned by the Company and the Subsidiaries (as

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): November 7, 2017 (November 1, 2017) STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdi

Form of Senior Secured Revolving Credit Agreement, between the Registrant, as a borrower, the lenders party hereto and ZB, N.A. dba Amegy Bank, as administrative agent (Incorporated by reference to the Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No 814-00971), filed on October 13, 2017).

Exhibit 10.1 SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of October [ ], 2017 among STELLUS CAPITAL INVESTMENT CORPORATION as Borrower The LENDERS Party Hereto ZB, N.A. dba AMEGY BANK as Administrative Agent CADENCE BANK, N.A. as Syndication Agent and FROST BANK as Documentation Agent ZB, N.A. dba AMEGY BANK as Sole Lead Arranger and Sole Book Runner TABLE OF CONTENTS Page ARTICLE I DEFINIT

Form of Guarantee and Security Agreement, the Registrant, ZB, N.A., dba Amegy Bank, as administrative agent, and ZB, N.A. dba Amegy Bank, as collateral agent (Incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K (File No. 814-00971), filed on October 13, 2017).

Exhibit 10.2 GUARANTEE AND SECURITY AGREEMENT GUARANTEE AND SECURITY AGREEMENT dated as of October [ ], 2017 (this ?Agreement?), among STELLUS CAPITAL INVESTMENT CORPORATION, a corporation duly organized and validly existing under the laws of the State of Maryland (the ?Borrower?); SCIC ? ERC Blocker 1, Inc., a Delaware corporation (?ERC?), SCIC ? SKP Blocker 1, Inc., a Delaware corporation (?SKP?

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): October 13, 2017 (October 11, 2017) STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdi

EX-99.25

NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on October 2, 2017, pursuant to the provisions of Rule 12d2-2 (a).

August 23, 2017

Exhibit (l)(4) August 23, 2017 Eversheds Sutherland (US) LLP Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 Ladies and Gentlemen: We have acted as counsel to Stellus Capital Investment Corporation, a Maryland corporation (the ?Company?), in connection with the preparation and filing of the registration statement on Form N-2 (File No.

Stellus Capital Investment POS EX

As filed with the Securities and Exchange Commission on August 23, 2017 Securities Act File No.

STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement

Exhibit (k)(10) STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(4) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 9, 2017 with respect to the consolidated financial statements and financial highlights of Stellus Capital Investment Corporation for the year ended December 31, 2016, and our report dated April 3, 2017 with respect to the Senior Securities table, which are contained in this Prospectus and Registration Statement.

Stellus Capital Investment 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 21, 2017 STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdiction of incorporati

NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.50% Notes due 2019 of Stellus Capital Investment Corporation (CUSIP No. 858568 207; NYSE: SCQ)* Redemption Date: September 20, 2017

Exhibit 99.1 NOTICE OF REDEMPTION TO THE HOLDERS OF THE 6.50% Notes due 2019 of Stellus Capital Investment Corporation (CUSIP No. 858568 207; NYSE: SCQ)* Redemption Date: September 20, 2017 NOTICE IS HEREBY GIVEN, pursuant to Section 1104 of the Indenture dated as of May 5, 2014 (the ?Base Indenture?), between Stellus Capital Investment Corporation, a Maryland corporation (the ?Company?), and U.S.

Stellus Capital Investment 8-A12B

As filed with the Securities and Exchange Commission on August 21, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Stellus Capital Investment Corporation (a Maryland Corporation) $42,500,000 Aggregate Principal Amount of 5.750% Notes due 2022 Underwriting Agreement August 16, 2017

Exhibit (h)(2) Stellus Capital Investment Corporation (a Maryland Corporation) $42,500,000 Aggregate Principal Amount of 5.

Second Supplemental Indenture between the Registrant and U.S. Bank National Association, date August 21, 2017, (Incorporated by reference on exhibit (d)(6) to the Registrant’s Registration Statement on Form N-2 (File No. 333-216138), filed on August 23, 2017).

Exhibit (d)(4) SECOND SUPPLEMENTAL INDENTURE between STELLUS CAPITAL INVESTMENT CORPORATION and U.

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(2) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 9, 2017 with respect to the consolidated financial statements and financial highlights of Stellus Capital Investment Corporation for the year ended December 31, 2016, and our report dated April 3, 2017 with respect to the Senior Securities table, which are contained in this Prospectus and Registration Statement.

August 21, 2017

Exhibit (l)(3) August 21, 2017 Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 Ladies and Gentlemen: We have acted as counsel to Stellus Capital Investment Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

Stellus Capital Investment POS EX

As filed with the Securities and Exchange Commission on August 21, 2017 Securities Act File No.

SCA / Stellus Capital Investment Corp 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exact

Submission of Matters to a Vote of Security Holders

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): May 25, 2017 (May 24, 2017) Stellus Capital Investment Corporation (Exact Name of Registrant as Specified in Charter) Maryland 814-00971 46-0937320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.

Stellus Capital Investment FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exac

* * *

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Stellus Capital Investment Corporation STELLUS CAPITAL INVESTMENT CORPOR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit n.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 9, 2017 with respect to the consolidated financial statements and financial highlights of Stellus Capital Investment Corporation for the year ended December 31, 2016, and our report dated April 3, 2017 with respect to the Senior Securities table, which are contained in this Prospectus and Reg

Stellus Capital Investment POS EX

As filed with the Securities and Exchange Commission on April 5, 2017 Securities Act File No.

Stellus Capital Investment Corporation (a Maryland Corporation) 2,750,000 Shares of Common Stock Par Value $0.001 per Share UNDERWRITING AGREEMENT April 5, 2017

Exhibit (h) Stellus Capital Investment Corporation (a Maryland Corporation) 2,750,000 Shares of Common Stock Par Value $0.

[Letterhead of Eversheds Sutherland (US) LLP] April 5, 2017

Exhibit (l)(2) [Letterhead of Eversheds Sutherland (US) LLP] April 5, 2017 Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 Ladies and Gentlemen: We have acted as counsel to Stellus Capital Investment Corporation, a Maryland corporation (the ?Company?), in connection with the preparation and filing of the registration statement on Form N-2 (File No.

SCA / Stellus Capital Investment Corp CORRESP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

SCA / Stellus Capital Investment Corp CORRESP

Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 (713) 292-5400 April 3, 2017 VIA EDGAR U.

Stellus Capital Investment PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive

Stellus Capital Investment 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registr

SCA / Stellus Capital Investment Corp CORRESP - -

February 21, 2017 Via EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0176 F: +1 202.637.3593 stevenboehm@ eversheds-sutherland.com Re: Stellus Capital Investment Corporation – Registration Statement on Form N-2 Dear Sir or Madam: On behalf of Stellus Capital

Stellus Capital Investment FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

Stellus Capital Investment 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 31, 2016 Stellus Capital Investment Corporation (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdiction of incorporati

FOURTH AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT

Exhibit 10.1 FOURTH AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS FOURTH AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of August 31, 2016 (this ?Amendment?), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION, a Maryland c

Stellus Capital Investment 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exact

Third Senior Secured Revolving Credit Agreement among the Registrant and SunTrust Bank, dated July 29, 2016, (Incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q, Filed on August 3, 2016).

Exhibit 10.1 EXECUTION COPY SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of May 31, 2016 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION,

Second Senior Secured Revolving Credit Agreement among the Registrant and SunTrust Bank, dated May 31, 2016, (Incorporated by reference to Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q, Filed on August 3, 2016).

Exhibit 10.2 EXECUTION VERSION THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS THIRD AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of July 29, 2016 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATION

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 30, 2016 (June 28, 2016) Stellus Capital Investment Corporation (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdiction

Stellus Capital Investment FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exac

Stellus Capital Investment DEF 14A

DEF 14A 1 v437430def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant o Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitt

Stellus Capital Investment 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registr

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION ( Exact

Stellus Capital Investment 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 1, 2015 (June 26, 2015) Stellus Capital Investment Corporation (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdiction o

POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940

Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.

SCM / Stellus Capital Investment Corporation / DC Funding SPV 2, L.L.C. - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 3) Under the Securities Exchange Act of 1934 Stellus Capital Investment Corporation (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 858568108 (CUSIP Number) May 28, 2015 (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to

Stellus Capital Investment DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant x Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION 4400 Post Oak Parkway, Suite 2200 Houston, Texas 77027 STELLUS CAPITAL INVESTMENT CORPORATION TAB

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

Stellus Capital Investment DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive

Stellus Capital Investment PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K For the fiscal year ended December 31, 2014 OR COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION Registrant’s telephone number, including area code

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact name of registr

POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940

Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E.

SCM / Stellus Capital Investment Corporation / DC Funding SPV 2, L.L.C. - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2) Under the Securities Exchange Act of 1934 Stellus Capital Investment Corporation (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 858568108 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursua

[FORM OF PROSPECTUS SUPPLEMENT TO BE USED IN CONJUNCTION WITH FUTURE RETAIL NOTE OFFERINGS] (1) SUBJECT TO COMPLETION, DATED , 20

Exhibit 99.6 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not soliciting an offer to buy these securities in an

[FORM OF PROSPECTUS SUPPLEMENT TO BE USED IN CONJUNCTION WITH FUTURE COMMON STOCK OFFERINGS] (1) SUBJECT TO COMPLETION, DATED , 20

Exhibit 99.2 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not soliciting an offer to buy these securities in an

SCA / Stellus Capital Investment Corp POS 8C - - POS 8C

As filed with the Securities and Exchange Commission on December 11, 2014 Securities Act File No.

[FORM OF PRELIMINARY PROSPECTUS SUPPLEMENT — INSTITUTIONAL NOTES OFFERINGS] SUBJECT TO COMPLETION, DATED , 20

Exhibit 99.7 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not soliciting an offer to buy these securities in an

STELLUS CAPITAL INVESTMENT CORPORATION FORM OF ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF TERM PREFERRED SHARES

Exhibit 99.(d)(6) STELLUS CAPITAL INVESTMENT CORPORATION FORM OF ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF TERM PREFERRED SHARES Stellus Capital Investment Corporation (the “Corporation”), a Maryland corporation, certifies to the State Department of Assessments and Taxation of Maryland that: RECITALS FIRST: The Corporation is authorized under Article V of the Cor

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have included our report dated March 6, 2014 (except for the effects of the revision described in Note 1 – Incentive Fee Revision, as to which the date is October 7, 2014) with respect to the financial statements and financial highlights of Stellus Capital Investment Corporation for the years ended December 31, 2013 and 2012 and our report dated October 7, 2014 with respect to the Senior Securities table of Stellus Capital Investment Corporation contained in the Prospectus and Registration Statement.

[FORM OF PROSPECTUS SUPPLEMENT TO BE USED IN CONJUNCTION WITH FUTURE RIGHTS OFFERINGS] (1) SUBJECT TO COMPLETION, DATED , 20

Exhibit 99.4 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not soliciting an offer to buy these securities in an

[FORM OF PROSPECTUS SUPPLEMENT TO BE USED IN CONJUNCTION WITH FUTURE WARRANT OFFERINGS] (1) SUBJECT TO COMPLETION, DATED , 20

Exhibit 99.5 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not soliciting an offer to buy these securities in an

[FORM OF PROSPECTUS SUPPLEMENT TO BE USED IN CONJUNCTION WITH FUTURE PREFERRED STOCK OFFERINGS] (1) SUBJECT TO COMPLETION, DATED , 20

Exhibit 99.3 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not soliciting an offer to buy these securities in an

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): November 24, 2014 (November 21, 2014) Stellus Capital Investment Corporation (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other juris

Stellus Capital Investment Corporation Announces the Amendment and Extension of its Revolving Credit Facility

Stellus Capital Investment Corporation Announces the Amendment and Extension of its Revolving Credit Facility HOUSTON—November 24, 2014 (MARKET WIRE)-Stellus Capital Investment Corporation (NYSE: SCM) (“the Company”) entered into a First Amendment (the “Amendment”) to its Senior Secured Revolving Credit Agreement (the “Credit Facility”), between the Company, SunTrust Bank, as a lender and the administrative agent, and the lenders named therein.

FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT

Exhibit 10.1 EXECUTION COPY FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT THIS FIRST AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT, dated as of November 21, 2014 (this “Amendment”), to the Existing Credit Agreement (capitalized terms used herein and not otherwise defined shall have the meanings given to such terms in Article I) is among STELLUS CAPITAL INVESTMENT CORPORATIO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION 4400 Post Oak Parkway, Suite 2200 Houston, Texas 77027 STELLUS CAPITAL INVESTMENT CORPORATION TAB

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (E

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

EX-99.(N)(1) 2 v390322ex99-n1.htm EXHIBIT (N)(1) Exhibit (n)(1) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have included our report dated March 6, 2014 (except for the effects of the revision described in Note 1 – Incentive Fee Revision, as to which the date is October 7, 2014) with respect to the financial statements and financial highlights of Stellus Capital Investment Corporat

SCA / Stellus Capital Investment Corp POS 8C - - POS 8C

As filed with the Securities and Exchange Commission on October 7, 2014 Securities Act File No.

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(2) REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors and Stockholders Stellus Capital Investment Corporation We have audited in accordance with the standards of the Public Company Accounting Oversight Board (United States) the financial statements of Stellus Capital Investment Corporation (a Maryland corporation) referred to in our report dated March 6, 2014 (except for the effects of the revision described in Note 1 – Incentive Fee Revision, as to which the date is October 7, 2014) which is included in in the Prospectus and Registration Statement.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION 4400 Post Oak Parkway, Suite 2200 Houston, Texas 77027 STELLUS CAPITAL INVESTMENT CORPORATION TAB

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-35730 STELLUS CAPITAL INVESTMENT CORPORATION (Exact

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 9, 2014 (July 7, 2014) Stellus Capital Investment Corporation (Exact name of registrant as specified in its charter) Maryland 814-00971 46-0937320 (State or other jurisdiction of

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive

STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement

Exhibit (h)(4) STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement June 4, 2014 MLV & Co. LLC 1251 Avenue of the Americas 41st Floor New York, NY 10020 Ladies and Gentlemen: Each of Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and Stellus Capital Management, LLC, a Delaware limited liability company

MLV & Co. LLC 1251 Avenue of the Americas New York, NY 10020 June 4, 2014

Exhibit (h)(5) MLV & Co. LLC 1251 Avenue of the Americas New York, NY 10020 June 4, 2014 Re: At Market Issuance Sales Agreement dated June 4, 2014 (the “Sales Agreement”), by and among MLV & Co. LLC (“Agent”), Stellus Capital Investment Corporation (the “Company”) and Stellus Capital Management, LLC (the “Adviser”). Ladies and Gentlemen: Agent hereby agrees to rebate to the Company its reimburseme

June 5, 2014

Exhibit (l)(2) June 5, 2014 Stellus Capital Investment Corporation 4400 Post Oak Parkway, Suite 2200 Houston, TX 77027 Ladies and Gentlemen: We have acted as counsel to Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

- POS EX

As filed with the Securities and Exchange Commission on June 5, 2014 Securities Act File No.

Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, FL 33716 June 4, 2014

Exhibit (h)(3) Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, FL 33716 June 4, 2014 Re: At Market Issuance Sales Agreement dated June 4, 2014 (the “Sales Agreement”), by and among Raymond James & Associates, Inc. (“Agent”), Stellus Capital Investment Corporation (the “Company”) and Stellus Capital Management, LLC (the “Adviser”). Ladies and Gentlemen: Each of the Company, th

STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement

Exhibit (h)(2) STELLUS CAPITAL INVESTMENT CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement June 4, 2014 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, FL 33716 Ladies and Gentlemen: Each of Stellus Capital Investment Corporation, a Maryland corporation (the “Company”), and Stellus Capital Management, LLC, a Delaware limited liability c

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit (n)(3) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated March 6, 2014 with respect to the financial statements and financial highlights of Stellus Capital Investment Corporation for the years ended December 31, 2013 and 2012 contained in the Prospectus and Registration Statement.