SEC Form 4 · accession 0001209191-17-067390
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
Dec 27, 2017
Accepted (ET)
Dec 27, 2017 · 1:44 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,F3 | Dec 27, 2017 | J | 1,321 | $0.00 | A | 67,392 | D | |
| Common Stock (See Footnote 4)F4,F3 | Dec 27, 2017 | J | 4 | $0.00 | A | 208 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC As Custodian
- F2Shares acquired as a result of a two percent (2%) stock dividend paid to shareholders of Uwharrie Capital Corp on 12-27-2017 as of Record Date 12-15-2017. 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 12-27-2017 as of Record Date 12-15-2017.
- F4Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick