SCM · Stellus Capital Investment Corp · Holdings

$6.64 -0.15 (-2.21%) At close · Oct 23

Market Cap

$189.11M

28.48M

Volume · Oct 23 186.32K Avg daily vol (3M) 160.91K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of SCM: 13F, 13D and 13G, insiders and funds →

Recent SEC filings are still being reconciled. Holder totals and changes may be incomplete until processing catches up.

The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.

Quarter:

Holders: 60

Total Value: $30,444,370

Total Shares: 3,657,943

Institutional Ownership Trend

27 quarters

Holder Concentration

Across 60 13F filers

Top Holder

7.7%

of institutional value

Top 5

35.2%

of institutional value

Top 10

60.7%

of institutional value

HHI

452

Broadly held

Who Holds SCM

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 59 filers, like-for-like change -6.6%; actively managed books -5.3%; index-like books -13.3%.

Holder type	Share	Filers	Change	New	Exited
Registered adviser	51.8%	29	+2.2%	5	1
Exempt adviser	1.9%	2	-66.5%	0	2
Adviser	1.2%	1	-1.2%	0	0
Bank	7.4%	8	-20.5%	1	2
Broker-dealer	7.6%	2	-11.9%	1	0
Holding company	4.9%	3	-32.2%	0	0
Non-US	0.0%	0	-100.0%	0	1
Unknown	25.2%	14	+3.8%	2	5

Style	Share	Filers	Change	New	Exited
Index-like	15.6%	5	-13.3%	0	1
Systematic-like	9.6%	8	-30.2%	0	0
Concentrated	26.0%	12	+21.3%	3	2
Diversified active	48.8%	34	-9.5%	6	8
Not measured	0.0%	0	—	0	0
Unknown	0.0%	0	—	0	0

Turnover	Share	Filers	Change	New	Exited
Low turnover	68.3%	36	+1.0%	5	4
Medium turnover	20.1%	11	+11.1%	3	1
High turnover	11.0%	11	-46.2%	1	5
Unknown	0.6%	1	-100.0%	0	1
Not measured	0.0%	0	—	0	0

Holding horizon	Share	Filers	Change	New	Exited
Short horizon	3.6%	6	+0.7%	2	4
Medium horizon	29.9%	13	+13.6%	1	1
Long horizon	63.9%	37	-4.8%	6	6
Unknown	2.7%	3	-73.5%	0	0
Not measured	0.0%	0	—	0	0

13F book size	Share	Filers	Change	New	Exited
Under $1B	18.1%	14	+34.6%	4	2
$1B to $10B	28.8%	14	+3.9%	0	3
$10B to $100B	13.5%	13	+7.4%	3	3
$100B or more	39.5%	18	-25.6%	2	3
Not measured	0.0%	0	—	0	0

Client base	Share	Filers	Change	New	Exited
Individuals and high net worth	24.0%	17	+10.7%	3	0
Pooled investment vehicles	11.8%	6	-34.1%	1	1
Registered funds and BDCs	7.8%	2	+11.5%	0	0
Governments and sovereign funds	1.8%	1	-6.8%	0	0
Corporations	1.8%	1	+0.3%	0	0
Diversified	4.6%	2	+970.1%	1	0
Pension and profit sharing plans	0.0%	0	—	0	0
Unknown	48.2%	30	-14.6%	4	10

Private funds	Share	Filers	Change	New	Exited
Hedge funds	14.9%	10	-26.7%	1	2
Private equity funds	1.8%	3	+537.5%	1	0
Venture capital funds	0.0%	1	+18.4%	0	0
Other private funds	6.2%	2	+14.1%	0	0
Mixed private funds	7.0%	1	+0.1%	0	0
No private funds	23.5%	13	+2.2%	2	0
Real estate funds	0.3%	1	new	1	0
Private funds, type not stated	0.0%	0	-100.0%	0	1
Unknown	46.3%	28	-8.9%	4	8

Location	Share	Filers	Change	New	Exited
United States	83.9%	48	-2.8%	7	9
Outside the US	16.1%	11	-22.5%	2	2

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 1 holder with no observed 2026-03-31 13F and 3 holders with no observed 2026-06-30 13F.

Conviction and Crowding

59 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders

0.000% of filers hold it in their top 10

Mar 31, 2026: 0

Holders above 5%

median weight 0.001%

Mar 31, 2026: 0

Crowding

4.00%

of shares outstanding, 14th percentile

Mar 31, 2026: 4.43%

Private-fund advisers

3.79%

of shares outstanding

Institutional ownership

12.6%

13.0% of the estimated free float

Top 10 holders

61.5%

of 13F shares, Herfindahl 0.046

Active holders

-5.3%

like-for-like share change of active filers

5% stakes on record

0 13D, 0 13G

How long holders have held it value-weighted 13.7 quarters

Under 1 year 17.0% 1 to 3 years 37.0% 3 years or more 46.0% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost

$12.29

estimated per share

Mar 31, 2026: $13.02

Quarter-end price

$8.42

implied by 13F values

Estimated gain or loss

-31.5%

price against the estimated cost

Estimated at a loss

100.0%

of costed 13F value

Estimated cost covers 54.3% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Shared Holders

Companies SCM's active holders also own, quarter ended Jun 30, 2026

#	Company	Shared holders	Similarity
1	FDUS FIDUS INVESTMENT Corp	3	0.237
2	SLRC SLR Investment Corp.	3	0.231
3	CGBD Carlyle Secured Lending, Inc.	3	0.208
4	MFIC MidCap Financial Investment Corp	3	0.191
5	GSBD Goldman Sachs BDC, Inc.	3	0.156
6	GBDC GOLUB CAPITAL BDC, Inc.	3	0.107
7	FSK FS KKR Capital Corp	3	0.099
8	IRM Iron Mountain Inc	3	0.063
9	ARCC Ares Capital Corp	3	0.062
10	BX Blackstone Inc.	4	0.044

Shareholder Targets

13F filers that own its peers but not SCM, quarter ended Jun 30, 2026

Found through its holder-overlap peers: FDUS, SLRC, CGBD, MFIC, GSBD, GBDC, FSK, IRM, ARCC, BX, PFE, KMI, WMT, UBER, T, XLB, AMD, XOM, BAC, GD. 6,308 filers in all.

#	Filer	In peers	Of book	Largest peers
1	VANGUARD CAPITAL MANAGEMENT LLC Registered adviser, Index-like	$201,311,539,779 11 held	4.30%	AMD, XOM, WMT
2	STATE STREET CORP Bank, Index-like	$145,132,639,762 16 held	4.30%	AMD, XOM, WMT
3	VANGUARD PORTFOLIO MANAGEMENT LLC Registered adviser, Diversified active	$76,346,039,960 11 held	3.44%	AMD, XOM, WMT
4	GEODE CAPITAL MANAGEMENT, LLC Registered adviser, Index-like	$74,945,293,645 11 held	4.00%	AMD, XOM, WMT
5	Invesco Ltd. Adviser, Diversified active	$58,488,092,971 17 held	4.64%	AMD, WMT, BAC
6	FMR LLC Holding company, Diversified active	$54,110,789,572 14 held	2.37%	XOM, AMD, BAC
7	NORGES BANK Non-US, Index-like	$40,763,196,603 10 held	4.07%	AMD, XOM, WMT
8	PRICE T ROWE ASSOCIATES INC /MD/ Registered adviser, Diversified active	$34,902,117,988 14 held	3.50%	AMD, XOM, BAC
9	NORTHERN TRUST CORP Bank, Index-like	$30,726,768,689 18 held	3.58%	AMD, XOM, WMT
10	GOLDMAN SACHS GROUP INC Holding company, Index-like	$28,699,039,031 16 held	3.04%	AMD, WMT, XOM

Fund Ownership of SCM by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 0.18% of shares outstanding.

Fund type	Of shares outstanding	Change	Shares	Funds
Index funds	0.00%	0.00 pp	0	0
Index ETFs	0.18%	-0.03 pp	51,503	1
Active ETFs	0.00%	0.00 pp	710	1
Active funds	0.00%	0.00 pp	0	0
Unclassified	0.00%	0.00 pp	0	0
All registered funds	0.18%	-0.03 pp	52,213	2

How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 30 Exempt adviser 2 Adviser 1 Bank 8 Broker-dealer 2 Holding company 3 Unknown 14

Showing 62 of 62

All Common Calls Puts

Compact Export CSV

Holder

Value (USD)

% of 13F

Corient Private Wealth LLC

$2,397,561

7.88%

284,746

LPL Financial LLC

$2,217,457

7.28%

263,356

RAYMOND JAMES FINANCIAL INC

$2,128,751

6.99%

252,821

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RAYMOND JAMES & ASSOCIATES	219,095	$1,844,779	86.7%	Defined
Raymond James Financial Services Advisors, Inc.	33,726	$283,972	13.3%	Defined

Legal & General Group Plc

$2,006,730

6.59%

238,329

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Legal & General Investment Management Ltd	238,329	$2,006,730	100.0%	Defined

Muzinich & Co., Inc.

$1,950,094

6.41%

262,816

Advisors Asset Management, Inc.

$1,854,732

6.09%

220,277

Ethos Financial Group, LLC

$1,828,765

6.01%

217,193

CONDOR CAPITAL MANAGEMENT

$1,784,930

5.86%

211,987

Sumitomo Mitsui Trust Group, Inc.

$1,314,791

4.32%

156,151

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Amova Asset Management Co., Ltd.	156,151	$1,314,791	100.0%	Defined

Icon Wealth Advisors, LLC

$1,141,213

3.75%

135,536

Samjo Management, LLC

$1,125,754

3.70%

133,700

BlackRock, Inc.

$921,670

3.03%

109,462

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BlackRock Asset Management Ireland Ltd	109,462	$921,670	100.0%	Sole

MILLENNIUM MANAGEMENT LLC

$811,890

2.67%

96,424

Inspire Advisors, LLC

$726,073

2.38%

86,232

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Inspire Investing, LLC	86,232	$726,073	100.0%	Defined

GABLES CAPITAL MANAGEMENT INC.

$564,577

1.85%

67,052

MORGAN STANLEY

$541,868

1.78%

64,355

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
MORGAN STANLEY CAPITAL SERVICES, LLC	34,962	$294,380	54.3%	Defined
MORGAN STANLEY SMITH BARNEY LLC	29,393	$247,488	45.7%	Defined

Trexquant Investment LP

$535,924

1.76%

63,649

Virtus Investment Advisers, LLC

$523,176

1.72%

62,135

XTX Topco Ltd

$488,174

1.60%

57,978

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
XTX EXECUTION SERVICES LLC joint	57,978	$488,174	100.0%	Defined

BANK OF AMERICA CORP /DE/

$482,609

1.59%

57,317

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
BANK OF AMERICA NA	57,317	$482,609	100.0%	Defined

PFG Investments, LLC

$448,449

1.47%

53,260

MARSHALL WACE, LLP

$411,257

1.35%

48,843

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Marshall Wace North America L.P. joint	48,843	$411,257	100.0%	Other

CITADEL ADVISORS LLC

$388,077

1.27%

46,090

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	46,090	$388,077	100.0%	Defined

Janney Montgomery Scott LLC

$360,653

1.18%

42,833

Campbell & CO Investment Adviser LLC

$294,321

0.97%

34,955

CANADA LIFE ASSURANCE Co

$292,569

0.96%

34,747

Gallagher Capital Advisors, LLC

$252,280

0.83%

34,000

TWO SIGMA INVESTMENTS, LP

$242,597

0.80%

28,812

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$193,660

0.64%

23,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	23,000	$193,660	100.0%	Other

Stonebridge Financial Group, LLC/CA

$186,545

0.61%

22,155

DOLIVER ADVISORS, LP

$181,797

0.60%

24,501

SUSQUEHANNA INTERNATIONAL GROUP, LLP

$164,451

0.54%

19,531

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
SUSQUEHANNA SECURITIES, LLC	19,531	$164,451	100.0%	Other

Qube Research & Technologies Ltd

$163,886

0.54%

19,464

ROYAL BANK OF CANADA

$150,019

0.49%

17,817

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
RBC Capital Markets, LLC	17,817	$150,019	100.0%	Defined

OPPENHEIMER & CO INC

$129,070

0.42%

15,329

PNC FINANCIAL SERVICES GROUP, INC.

$109,460

0.36%

13,000

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
PNC Bank, National Association	13,000	$109,460	100.0%	Defined

WELLS FARGO & COMPANY/MN

$106,773

0.35%

12,681

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC	9,680	$81,505	76.3%	Defined
WELLS FARGO CLEARING SERVICES, LLC	3,001	$25,268	23.7%	Defined

SANDERS MORRIS HARRIS LLC

$104,221

0.34%

14,046

UBS Group AG

$101,957

0.33%

12,109

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
UBS Financial Services Inc	10,137	$85,353	83.7%	Defined
UBS AG	1,972	$16,604	16.3%	Defined

Arax Advisory Partners

$96,543

0.32%

11,466

CITADEL ADVISORS LLC

$95,988

0.32%

11,400

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Citadel Securities GP LLC	11,400	$95,988	100.0%	Defined

Concurrent Investment Advisors, LLC

$95,784

0.31%

12,909

Mariner, LLC

$92,620

0.30%

11,000

JANE STREET GROUP, LLC

$91,778

0.30%

10,900

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Jane Street Capital, LLC	10,900	$91,778	100.0%	Defined

Significant Wealth Partners LLC

$85,303

0.28%

10,131

CHILTON CAPITAL MANAGEMENT LLC

$77,615

0.25%

9,218

OSAIC HOLDINGS, INC.

$45,190

0.15%

5,367

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
OSAIC WEALTH, INC.	5,367	$45,190	100.0%	Defined

Clayton Financial Group LLC

$28,989

0.10%

3,907

Rockefeller Capital Management L.P.

$28,232

0.09%

3,353

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
ROCKEFELLER FINANCIAL LLC	3,353	$28,232	100.0%	Defined

HIGHLINE WEALTH PARTNERS LLC

$14,914

0.05%

2,010

Aquatic Capital Management LLC

$13,573

0.04%

1,612

Tower Research Capital LLC (TRC)

$9,750

0.03%

1,158

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Tower Research Capital Investments LLC	1,158	$9,750	100.0%	Other

Crewe Advisors LLC

$8,672

0.03%

1,030

PRIVATE TRUST CO NA

$8,139

0.03%

1,097

NOMURA ASSET MANAGEMENT CO LTD

$7,418

0.02%

881

JONES FINANCIAL COMPANIES LLLP

$4,210

0.01%

500

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
Edward D. Jones & Co., L.P.	500	$4,210	100.0%	Sole

Key Financial Inc

$4,210

0.01%

500

Aventura Private Wealth, LLC

$3,974

0.01%

472

Farther Finance Advisors, LLC

$1,484

0.00%

200

JPMORGAN CHASE & CO

$1,111

0.00%

132

This filing is a combination report: the position is filed across the managers below.

Manager	Shares	Value (USD)	% of position	Discretion
JPMorgan Chase Bank, N.A.	132	$1,111	100.0%	Defined

Caitong International Asset Management Co., Ltd

$84

0.00%

DANSKE BANK A/S

0.00%

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