SEC Form 4 · accession 0000943504-17-000001
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
Aug 1, 2017
Accepted (ET)
Aug 2, 2017 · 10:27 am EDT
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 | Aug 1, 2017 | G | 2,000 | $0.00 | D | 1,373,293 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11. After the transfer of the 2,000 shares being gifted, Direct ownership is 306,647 shares, and indirect ownership is 1,066,646 shares. Of the shares owned indirectly, 306,646 shares are owned by wife, and 760,000 shares are under my voting control as co-trustee of the Alfred R. Globus Testamentary Trust