Initial Statement of Beneficial Ownership (3)
February 25 2022 - 5:31PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Senter Brooke L |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/15/2022
|
3. Issuer Name and Ticker or Trading Symbol
UWHARRIE CAPITAL CORP [NONE]
|
(Last)
(First)
(Middle)
PO BOX 338, 132 NORTH FIRST STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief People Officer / |
(Street)
ALBEMARLE, NC 28002-0338
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 1424 | D | |
Common Stock (Held by Self TOD Spouse) | 4644 | D | |
Common Stock (2) | 7417 | D | |
Common Stock (3) | 33633 | I | Held by Company with Reporting Person as Officer |
Common Stock (4) | 2246 | I | Held by Roth IRA FBO Spouse of Reporting Person Solely |
Common Stock (5) | 12 | I | Held by Mother-in-Law Custodian for Daughter |
Common Stock (5) | 937 | I | Held by Mother-in-Law Custodian for Daughter |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Held by Cede & Co., Depository for Brooke L. Senter Roth IRA TD Ameritrade Clearing Custodian |
(2) | Held by Cede & Co., Depository for TD Ameritrade Safekeeper for Neil B. Senter & Brooke Laton Senter Jt Ten |
(3) | Held by Cede & Co., Depository for Pershing LLC Safekeeper for Custom Doors Inc. |
(4) | Held by Cede & Co., Depository for Neil B. Senter Roth IRA TD Ameritrade Clearing Custodian |
(5) | Held by Cede & Co., Depository for Mother-in-Law as Custodian for Reporting Person's Daughter TD Ameritrade |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Senter Brooke L PO BOX 338 132 NORTH FIRST STREET ALBEMARLE, NC 28002-0338 |
|
| Chief People Officer |
|
Signatures
|
Brooke L. Senter by Tamara M. Singletary, EVP, Uwharrie Capital Corp | | 2/25/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Uwharrie Capital (QX) (USOTC:UWHR)
Historical Stock Chart
From Jun 2024 to Jul 2024
Uwharrie Capital (QX) (USOTC:UWHR)
Historical Stock Chart
From Jul 2023 to Jul 2024