SEC Form 4 · accession 0001209191-18-064311
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 28, 2018
Accepted (ET)
Dec 28, 2018 · 3:57 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 StockF1 | Dec 28, 2018 | P | 100 | $5.25 | A | 68,839 | D | |
| Common StockF1 | Dec 28, 2018 | P | 300 | $5.20 | A | 69,139 | D | |
| Common StockF1 | Dec 28, 2018 | P | 300 | $5.199 | A | 69,439 | D | |
| Common StockF2 | holding | — | — | — | 212 | 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
- F2Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick