UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM N-54A

 

NOTIFICATION OF ELECTION TO BE SUBJECT TO SECTIONS 55

THROUGH 65 OF THE INVESTMENT COMPANY ACT OF 1940 FILED

PURSUANT TO SECTION 54(a) OF THE ACT

 

The undersigned business development company hereby notifies the Securities and Exchange Commission that it elects, pursuant to the provisions of section 54(a) of the Investment Company Act of 1940, as amended (the “Act”), to be subject to the provisions of sections 55 through 65 of the Act and, in connection with such notification of election, submits the following information:

 

Name: Stellus Capital Investment Corporation

 

Address of Principal Business Office (No. & Street, City, State, Zip Code):

10000 Memorial Drive, Suite 500

Houston, Texas 77024

 

Telephone number (including area code): (713) 292 - 5400

 

Name and address of agent for service of process:

Robert T. Ladd

Chief Executive Officer and President

Stellus Capital Investment Corporation

10000 Memorial Drive, Suite 500

Houston, Texas 77024

 

Check one of the following:

 

x

The company has filed a registration statement for a class of equity securities pursuant to section 12 of the Securities Exchange Act of 1934. Give the file number of the registration statement, or if the file number is unknown or has not yet been assigned, give the date on which the registration statement was filed:  November 7, 2012

 

¨

The company is relying on rule 12g-2 under the Securities Exchange Act of 1934 in lieu of filing a registration statement for a class of equity securities under that Act.

 

The file number of the registration as an investment company pursuant to section 8(a) of the Act, if any, of the company:

 

 

The file number of the registration as an investment company pursuant to section 8(a) of the Act, if any, of any subsidiary of the company:

 

 

The undersigned company certifies that it is a closed-end company organized under the laws of the State of Maryland and with its principal place of business in the State of Texas; that it will be operated for the purpose of making investments in securities described in section 55(a)(1) through (3) of the Act; and that it will make available significant managerial assistance with respect to issuers of such securities to the extent required by the Act.

 

 

 

 

 

Pursuant to the requirements of the Act, the undersigned company has caused this notification of election to be subject to sections 55 through 65 of the Act to be duly signed on its behalf in the City of Houston in the State of Texas on the 7th day of November, 2012.

 

 

[SEAL]	Stellus Capital Investment Corporation
	By:	/s/ Robert T. Ladd
		Name: Robert T. Ladd
		Title:   Chief Executive Officer and President

 

Attest:	/s/ W. Todd Huskinson
	Name: W. Todd Huskinson
	Title:  Chief Financial Officer, Treasurer and Secretary