SEC Form 4 · accession 0000943504-16-000001
UNITED GUARDIAN INC · UG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth H Globus
Officer — President · Director · 10% Owner
Period of report
Dec 9, 2016
Accepted (ET)
Dec 9, 2016 · 10:50 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000101295
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 9, 2016 | G | 5,300 | $0.00 | D | 1,390,693 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1After the transfer of the 5,300 shares being gifted, my Direct & Indirect beneficial ownership is as follows: 1) Direct: 315,347 2) Indirect: 315,346 shares owned by wife; 760,000 shares as co-trustee under the Alfred R. Globus Testamentary Trust
- F2Direct: 315,347 shares; Indirect: 1,075,346