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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 , 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 name of registrant as specified in its charter ) Maryland ( State or other jurisdiction of incorporation or organization ) 4400 Post Oak Parkway , Suite 2200 Houston , TX ( Address of principal executive offices ) 46-0937320 ( I.R.S. Employer Identification Number ) Title of Each Class Common Stock , par value $ 0.001 per share 77027 ( Zip Code ) Registrant's telephone number , including area code : ( 713 ) 292-5400 Securities registered pursuant to Section 12 ( b ) of the Act : Name of Each Exchange on Which Registered New York Stock Exchange Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes No Indicate by check mark whether the Registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the Registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit and post such files ) . Yes No Indicate by check mark whether the Registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , or a smaller reporting company . See the definition of " large accelerated filer , " " accelerated filer , ” “ smaller reporting company " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Large accelerated filer Accelerated filer Non - accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Yes No Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Act ) . Yes No The aggregate market value of the Registrant's common stock held by non - affiliates of the Registrant as of June 30 , 2020 was : $ 132,284,368 . The number of shares of the issuer's Common Stock , $ 0.001 par value per share , outstanding as of March 3 , 2021 was 19,486,003 . Documents Incorporated by Reference Portions of the registrant's definitive Proxy Statement relating to the registrant's 2021 Annual Meeting of Stockholders , to be filed with the Securities and Exchange Commission within 120 days following the end of the Company's fiscal year , are incorporated by reference in Part III of this Annual Report on Form 10 - K as indicated herein .