Form 4 - Statement of changes in beneficial ownership of securities

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

CAMPBELL JAMES O

(Last)

(First)

(Middle)

PO BOX 338

(Street)

ALBEMARLE

28002-0338

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
UWHARRIE CAPITAL CORP [ UWHR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
05/28/2024

4. If Amendment, Date of Original Filed (Month/Day/Year)

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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock (Held by Self)								6,905	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

Remarks:

James O. Campbell's term expired as of Uwharrie Capital Corp's Annual Meeting of Shareholders 05-28-2024.

	James O. Campbell by Tamara M. Singletary, EVP, Uwharrie Capital Corp	05/29/2024
	** 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 4 (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 Number.

RESOLUTION OF THE
BOARD OF DIRECTORS
OF
UWHARRIE CAPITAL CORP

WHEREAS, the persons named below are designated as “Reporting Persons” of Uwharrie Capital Corp (the “Company”) for purposes of Rule 16a (Reporting Requirement) to the Securities and Exchange Commission (“SEC”):


1. Board of Directors	Uwharrie Capital Corp
2. Roger L. Dick	President and Chief Executive Officer – Uwharrie Capital Corp; Chief Executive Officer - Uwharrie Bank
3. R. David Beaver, III	Chief Risk Officer – Uwharrie Capital Corp and Uwharrie Bank; President – Uwharrie Bank
4. Jason R. Andrew	Chief Operations Officer – Uwharrie Capital Corp and Uwharrie Bank
5. Christy D. Stoner	President & Chief Executive Officer – Uwharrie Investment Advisors; Chief Marketing Officer – Uwharrie Capital Corp and Uwharrie Bank
6. Jeffrey L. Trout	President - Uwharrie Bank Mortgage
7. Heather H. Almond	Chief Financial Officer – Uwharrie Capital Corp and Uwharrie Bank
8. Cheryl P. Rinehardt	Chief Credit Officer - Uwharrie Bank
9. Brooke L. Senter	Chief People Officer – Uwharrie Capital Corp and Uwharrie Bank; Assistant Corporate Secretary – Uwharrie Capital Corp and Uwharrie Bank
10. Tamara M. Singletary	Executive Vice President – Uwharrie Capital Corp and Uwharrie Bank; Corporate Secretary – Uwharrie Capital Corp and Uwharrie Bank

FURTHER, all other officers of the Company are excluded from policymaking functions and, therefore, are not “Reporting Persons” of the Company.

Page 2 of 2

SEC “Reporting Persons” Resolution UCC Board of Directors’ Meeting January 16, 2024

FURTHER, those persons named will be responsible for complying with the “Pre-Clearance Policy for Uwharrie Capital Corp Stock Transactions” as set forth by the Board of Directors and for notifying Tamara M. Singletary, who has been designated as the Company's

contact person for stock matters, prior to engaging in any transaction involving or effecting any change in his/her beneficial ownership of equity securities of the Company including, without

limitation, any change resulting from any private negotiation trade, market trade through the Company, gifts, custodial accounts, trusts, corporations, partnerships, marriages, deaths,

incentive stock options, employee stock purchase plan, employee benefit plan, etc. in order to prevent violations of Rule 16a and 16b.

FURTHER, compliance with the reporting rules is the sole responsibility of the individual Reporting Persons and not the Company; however, Tamara M. Singletary or designee will assist persons with reporting forms to ensure timely filings with the Securities and Exchange Commission (SEC).

FURTHER, the "Reporting Persons" authorize and designate Roger L. Dick, R. David Beaver, III, Heather H. Almond or Tamara M. Singletary to sign SEC Forms 3, 4 and 5 and file in their behalf, if needed. Notice of this signature authorization will be given to the Securities and Exchange Commission by providing a copy of this resolution.

These actions being taken at a duly called meeting of the Uwharrie Capital Corp Board of Directors on January 16, 2024, for which a quorum was present.

(SEAL) /s/ Tamara M. Singletary

Executive Vice President & Corporate Secretary

Uwharrie Capital Corp