Filing Details
- Accession Number:
- 0001209191-22-039652
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-06-28 17:28:36
- Reporting Period:
- 2022-06-23
- Accepted Time:
- 2022-06-28 17:28:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 898171 | Uwharrie Capital Corp | NONE | State Commercial Banks (6022) | 561814206 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1255676 | L Roger Dick | Po Box 338 132 North First Street Albemarle NC 28002-0338 | President/Ceo Of Ucc | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2022-06-23 | 83,855 | $0.00 | 0 | No | 5 | J | Direct | |
| Common Stock | Acquisiton | 2022-06-23 | 83,855 | $0.00 | 83,855 | No | 5 | J | Indirect | By 401(k) Plan |
| Common Stock | Acquisiton | 2022-06-24 | 5,585 | $7.50 | 5,585 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | J | Direct | |
| No | 5 | J | Indirect | By 401(k) Plan |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,517 | Direct |
Footnotes
- Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick
- Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC As Custodian
- Transfer of shares from brokerage IRA account to self directed brokerage 401(k) account.
- The shares were transferred from an account held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC as Custodian to account charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401(k) FBO Roger L. Dick. This transfer did not involve the receipt of any funds by the shareholder.
- Held by charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401K FBO Roger L. Dick
- The shares were transferred from an account held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC as Custodian to account charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401(k) FBO Roger L. Dick. This transfer did not involve the receipt of any funds by the shareholder.
Billionaire Hedge Funds
