SEC Form 4/A · accession 0001209191-16-151934
UWHARRIE CAPITAL CORP · UWHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
W Stephen Aldridge III
Director
Period of report
Nov 23, 2016
Accepted (ET)
Nov 23, 2016 · 3:03 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 (Held by Self)F1,F3 | Nov 23, 2016 | J | 27 | $0.00 | A | 1,421 | D | |
| Common Stock (Held by Self as Custodian for Minor Son)F1,F3 | Nov 23, 2016 | J | 22 | $0.00 | A | 1,123 | I | By Self As Custodian for Minor Son |
| Common Stock (Held by Self as Trustee of Trust)F1,F3 | Nov 23, 2016 | J | 58 | $0.00 | A | 3,000 | D | |
| Common Stock (Held by Mother)F1,F3 | Nov 23, 2016 | J | 199 | $0.00 | A | 10,186 | I | By Mother Solely (Reporting Person POA for Mother) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4A amends and replaces in its entirety content contained in Form 4 filed in error 11-23-2016 at 06:39 a.m. for W. Stephen Aldridge, III. Disregard all transactions in Form 4 filed 11-23-2016 at 06:39 a.m. for W. Stephen Aldridge, III.
- F2Shares 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.
- F3No 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.
Remarks
This Form 4A amends and replaces in its entirety content contained in Form 4 filed in error 11-23-2016 at 06:39 a.m. for W. Stephen Aldridge, III. Disregard all transactions in Form 4 filed 11-23-2016 at 06:39 a.m. for W. Stephen Aldridge, III.