SEC Form 4 · accession 0001209191-15-077630
UWHARRIE CAPITAL CORP · UWHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger L Dick
Officer — President/CEO of UCC
Period of report
Oct 30, 2015
Accepted (ET)
Nov 2, 2015 · 2:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000898171
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock (See Footnote 1)F1 | Oct 30, 2015 | P | 200 | $4.00 | A | 200 | D | |
| Common Stock (See Footnote 2)F2 | holding | — | — | — | 63,506 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick
- F2Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC As Custodian