Current Report Filing (8-k)
September 13 2016 - 1:45PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Form 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported) September 9, 2016
UWHARRIE CAPITAL CORP
(Exact name of Registrant as specified in its charter)
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NORTH CAROLINA
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000-22062
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56-1814206
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(State or other jurisdiction
of incorporation)
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(Commission
File No.)
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(IRS Employer
Identification number)
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132 NORTH FIRST STREET,
ALBEMARLE, NORTH CAROLINA 28001
(Address of principal executive offices)
Registrants telephone number, including area code (704) 982-4415
N/A
(Former address of
principal executive offices)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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ITEM 2.02
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RESULTS OF OPERATIONS AND FINANCIAL CONDITION.
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On September 9, 2016, Uwharrie Capital Corp (the
Registrant) released a quarterly report to its shareholders that included a letter to the shareholders from President and CEO Roger L. Dick and Brendan P. Duffey, COO and unaudited financial information for the period ended June 30,
2016.
A copy of this report is attached hereto as Exhibit 99.1 and incorporated by reference herein.
This information contained in Item 2.02 of this Current Report on Form 8-K shall not be deemed filed for purposes of Section 18 of the
Securities Exchange Act of 1934, as amended (the Exchange Act), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in
such a filing.
This Current Report on Form 8-K (including information included or incorporated by reference herein) may contain, among other things,
certain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, including, without limitation, (i) statements regarding certain of Registrants goals and expectations with respect to earnings,
income per share, revenue, expenses and the growth rate in such items, as well as other measures of economic performance, including statements relating to estimates of credit quality trends, and (ii) statements preceded by, followed by or that
include the words may, could, should, would, believe, anticipate, estimate, expect, intend, plan, projects,
outlook or similar expressions. These statements are based upon the current belief and expectations of Registrants management and are subject to significant risks and uncertainties that are subject to change based on various
factors (many of which are beyond Registrants control).
ITEM 9.01
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FINANCIAL STATEMENTS AND EXHIBITS.
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Exhibit No.
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Description of Exhibit
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99.1
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Quarterly report to shareholders for the period ended June 30, 2016.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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UWHARRIE CAPITAL CORP
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By:
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/s/ R. David Beaver, III
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R. David Beaver, III
Principal Financial
Officer
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Dated: September 12, 2016
EXHIBIT INDEX
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Exhibit
Number
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Description of Exhibit
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99.1
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Quarterly report to shareholders for the period ended June 30, 2016.
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