SEC Form 4 · accession 0001209191-16-151862
UWHARRIE CAPITAL CORP · UWHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Nance
Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 23, 2016 · 11:24 am 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 (Held by Self)F2 | Nov 23, 2016 | J | 100 | $0.00 | A | 5,115 | D | |
| Common Stock (See Footnote 3)F3,F2 | Nov 23, 2016 | J | 37 | $0.00 | A | 1,928 | D | |
| Common Stock (Held jointly with Spouse)F2 | Nov 23, 2016 | J | 263 | $0.00 | A | 13,431 | D | |
| Common Stock (Held by Spouse)F2 | Nov 23, 2016 | J | 135 | $0.00 | A | 6,897 | I | By Spouse of Reporting Person Solely |
| Common Stock (See Footnote 4)F4,F2 | Nov 23, 2016 | J | 135 | $0.00 | A | 6,897 | I | By Self As Custodian for Daughter |
| Common Stock (See Footnote 4)F4,F2 | Nov 23, 2016 | J | 135 | $0.00 | A | 6,897 | I | By Self As Custodian for Daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired as a result of a two percent (2%) stock dividend paid to shareholders of Uwharrie Capital Corp on 11-23-2016 as of Record Date 11-09-2016. No fractional shares were issued. Shareholders were paid cash in lieu of fractional shares.
- F2No money was paid by the shareholder(s) for the acquired shares. The shares were acquired as a result of a two percent (2%) stock dividend paid to shareholders of Uwharrie Capital Corp on 11-23-2016 as of Record Date 11-09-2016.
- F3Held by Cede & Co., Depository for IRA FBO James Edward Nance Pershing LLC As Custodian
- F4Held by Self as Custodian for Daughter