Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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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 which the Schedule is filed:
| [ ] | Rule 13d-1(b) | |
| [ ] | Rule 13d-1(c) | |
| [ X ] | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 858568108
| 1. |
Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) DC Funding SPV 2, L.L.C. 45-2958319
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
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(b)
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¨ | |||
| 3. |
SEC Use Only
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| 4. |
Citizenship or Place of Organization Delaware
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Number of Shares Beneficially Owned by Each Reporting Person With |
5. |
Sole Voting Power
-0- |
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| 6. |
Shared Voting Power -0-
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| 7. |
Sole Dispositive Power -0-
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| 8. |
Shared Dispositive Power -0-
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| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person -0-
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| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
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| 11. |
Percent of Class Represented by Amount in Row (9) 0.0%
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| 12. |
Type of Reporting Person (See Instructions) OO |
CUSIP No. 858568108
| 1. |
Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) D. E. Shaw Direct Capital, L.L.C. 26-2474928
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
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(b)
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¨ | |||
| 3. |
SEC Use Only
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| 4. |
Citizenship or Place of Organization Delaware
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Number of Shares Beneficially Owned by Each Reporting Person With |
5. |
Sole Voting Power
-0- |
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| 6. |
Shared Voting Power -0-
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| 7. |
Sole Dispositive Power -0-
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| 8. |
Shared Dispositive Power -0-
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| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person -0-
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| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
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| 11. |
Percent of Class Represented by Amount in Row (9) 0.0%
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| 12. |
Type of Reporting Person (See Instructions) OO |
CUSIP No. 858568108
| 1. |
Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) D. E. Shaw & Co., L.P. 13-3695715
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
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(b)
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¨ | |||
| 3. |
SEC Use Only
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| 4. |
Citizenship or Place of Organization Delaware
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Number of Shares Beneficially Owned by Each Reporting Person With |
5. |
Sole Voting Power
-0- |
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| 6. |
Shared Voting Power -0-
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| 7. |
Sole Dispositive Power -0-
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| 8. |
Shared Dispositive Power -0-
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| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person -0-
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| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
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| 11. |
Percent of Class Represented by Amount in Row (9) 0.0%
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| 12. |
Type of Reporting Person (See Instructions) IA, PN |
CUSIP No. 858568108
| 1. |
Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) David E. Shaw
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| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | |||
| (a) | ¨ | |||
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(b)
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¨ | |||
| 3. |
SEC Use Only
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| 4. |
Citizenship or Place of Organization United States
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Number of Shares Beneficially Owned by Each Reporting Person With |
5. |
Sole Voting Power
-0- |
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| 6. |
Shared Voting Power -0-
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| 7. |
Sole Dispositive Power -0-
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| 8. |
Shared Dispositive Power -0-
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| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person -0-
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||
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
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| 11. |
Percent of Class Represented by Amount in Row (9) 0.0%
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| 12. |
Type of Reporting Person (See Instructions) IN |
Item 1.
| (a) | Name of Issuer |
Stellus Capital Investment Corporation
| (b) | Address of Issuer's Principal Executive Offices |
4400 Post Oak Parkway, Suite 2200
Houston, TX 77027
Item 2.
| (a) | Name of Person Filing |
DC Funding SPV 2, L.L.C.
D. E. Shaw Direct Capital, L.L.C.
D. E. Shaw & Co., L.P.
David E. Shaw
| (b) | Address of Principal Business Office or, if none, Residence |
The business address for each reporting person is:
1166 Avenue of the Americas, 9th Floor
New York, NY 10036
| (c) | Citizenship |
DC Funding SPV 2, L.L.C. is a limited liability company organized under the laws of the state of Delaware.
D. E. Shaw Direct Capital, L.L.C. is a limited liability company organized under the laws of the state of Delaware.
D. E. Shaw & Co., L.P. is a limited partnership organized under the laws of the state of Delaware.
David E. Shaw is a citizen of the United States of America.
| (d) | Title of Class of Securities |
Common Stock, $0.001 par value
| (e) | CUSIP Number |
858568108
| Item 3. | If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a: |
Not Applicable
| Item 4. | Ownership |
As of May 28, 2015:
| (a) Amount beneficially owned: | ||
| DC Funding SPV 2, L.L.C.: | -0- shares | |
| D. E . Shaw Direct Capital, L.L.C. | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares | |
| (b) Percent of class: | ||
| DC Funding SPV 2, L.L.C.: | 0.0% | |
| D. E. Shaw Direct Capital, L.L.C.: | 0.0% | |
| D. E. Shaw & Co., L.P.: | 0.0% | |
| David E. Shaw: | 0.0% |
(c) Number of shares to which the person has:
| (i) | Sole power to vote or to direct the vote: DC Funding SPV 2, L.L.C.: |
-0- shares |
| D. E. Shaw Direct Capital, L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares |
| (ii) | Shared power to vote or to direct the vote: DC Funding SPV 2, L.L.C.: |
-0- shares |
| D. E. Shaw Direct Capital, L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares | |
| (iii) | Sole power to dispose or to direct the disposition of: DC Funding SPV 2, L.L.C.: |
-0- shares |
| D. E. Shaw Direct Capital, L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares | |
| (iv) | Shared power to dispose or to direct the disposition of: DC Funding SPV 2, L.L.C.: |
-0- shares |
| D. E. Shaw Direct Capital, L.L.C.: | -0- shares | |
| D. E. Shaw & Co., L.P.: | -0- shares | |
| David E. Shaw: | -0- shares |
| Item 5. | Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [X].
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not Applicable
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. |
Not Applicable
| Item 8. | Identification and Classification of Members of the Group |
Not Applicable
| Item 9. | Notice of Dissolution of Group |
Not Applicable
| Item 10. | Certification |
Not Applicable as this statement is filed pursuant to Rule 13d-1(d).
SIGNATURE
After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. A Power of Attorney, dated December 16, 2014, granted by David E. Shaw in favor of Nathan Thomas, is attached hereto.
Dated: May 29, 2015
| DC Funding SPV 2, L.L.C. | ||
| By: | /s/ Nathan Thomas | |
| Nathan Thomas | ||
| Authorized Signatory | ||
| D. E. Shaw Direct Capital, L.L.C. | ||
| By: | /s/ Nathan Thomas | |
| Nathan Thomas | ||
| Chief Compliance Officer | ||
| D. E. Shaw & Co., L.P. | ||
| By: | /s/ Nathan Thomas | |
| Nathan Thomas | ||
| Chief Compliance Officer | ||
| David E. Shaw | ||
| By: | /s/ Nathan Thomas | |
| Nathan Thomas | ||
| Attorney-in-Fact for David E. Shaw | ||