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

 

 
  2. Check the Appropriate Box if a Member of a Group (See Instructions)  
    (a) ¨  
   

(b)

 

¨  
  3.

SEC Use Only

 

 
  4.

Citizenship or Place of Organization

Delaware

 

 

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person With

5.

Sole Voting Power

 

-0-

 
      6.

Shared Voting Power

-0-

 

 
      7.

Sole Dispositive Power

-0-

 

 
      8.

Shared Dispositive Power

-0-

 

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

-0-

 

 
  10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨

 

 
  11.

Percent of Class Represented by Amount in Row (9)

0.0%

 

 
  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

 

 
  2. Check the Appropriate Box if a Member of a Group (See Instructions)  
    (a) ¨  
   

(b)

 

¨  
  3.

SEC Use Only

 

 
  4.

Citizenship or Place of Organization

Delaware

 

 

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person With

5.

Sole Voting Power

 

-0-

 
      6.

Shared Voting Power

-0-

 

 
      7.

Sole Dispositive Power

-0-

 

 
      8.

Shared Dispositive Power

-0-

 

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

-0-

 

 
  10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨

 

 
  11.

Percent of Class Represented by Amount in Row (9)

0.0%

 

 
  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

 

 
  2. Check the Appropriate Box if a Member of a Group (See Instructions)  
    (a) ¨  
   

(b)

 

¨  
  3.

SEC Use Only

 

 
  4.

Citizenship or Place of Organization

Delaware

 

 

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person With

5.

Sole Voting Power

 

-0-

 
      6.

Shared Voting Power

-0-

 

 
      7.

Sole Dispositive Power

-0-

 

 
      8.

Shared Dispositive Power

-0-

 

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

-0-

 

 
  10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨

 

 
  11.

Percent of Class Represented by Amount in Row (9)

0.0%

 

 
  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

 

 
  2. Check the Appropriate Box if a Member of a Group (See Instructions)  
    (a) ¨  
   

(b)

 

¨  
  3.

SEC Use Only

 

 
  4.

Citizenship or Place of Organization

United States

 

 

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person With

5.

Sole Voting Power

 

-0-

 
      6.

Shared Voting Power

-0-

 

 
      7.

Sole Dispositive Power

-0-

 

 
      8.

Shared Dispositive Power

-0-

 

 

  9.

Aggregate Amount Beneficially Owned by Each Reporting Person

-0-

 

 
  10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨

 

 
  11.

Percent of Class Represented by Amount in Row (9)

0.0%

 

 
  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

 

 

 

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. Shaw, hereby make, constitute, and appoint each of:

 

Anne Dinning,

 

Julius Gaudio,

 

John Liftin,

 

Maximilian Stone,

 

Nathan Thomas, and

 

Eric Wepsic,

 

acting individually, as my agent and attorney-in-fact, with full power of substitution, for the purpose of, from time to time, (i) executing in my name and/or my capacity as President of D. E. Shaw & Co., Inc. (acting for itself or as the general partner of D. E. Shaw & Co., L.P. and general partner, managing member, or manager of other entities, any of which in turn may be acting for itself or other entities) all documents, certificates, instruments, statements, other filings, and amendments to the foregoing (collectively, “documents”) determined by such person to be necessary or appropriate to comply with any registration or regulatory disclosure requirements and/or ownership or control-person reporting requirements imposed by any United States or non-United States governmental or regulatory authority, including without limitation Form ADV, Forms 3, 4, 5, and 13F, and Schedules 13D and 13G required to be filed with the United States Securities and Exchange Commission, and (ii) delivering, furnishing, or filing any such documents to or with the appropriate governmental or regulatory authority. Any such determination shall be conclusively evidenced by such person’s execution, delivery, furnishing, and/or filing of the applicable document.

 

This power of attorney shall be valid from the date hereof and replaces the power granted on June 22, 2012, which is hereby cancelled.

 

IN WITNESS HEREOF, I have executed this instrument as of the date set forth below.

 

Date: December 16, 2014

 

DAVID E. SHAW, as President of

D. E. Shaw & Co., Inc.

/s/ David E. Shaw

New York, New York