0000950170-24-032333.txt : 20240315 0000950170-24-032333.hdr.sgml : 20240315 20240315172452 ACCESSION NUMBER: 0000950170-24-032333 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240315 FILED AS OF DATE: 20240315 DATE AS OF CHANGE: 20240315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Beaver R David III CENTRAL INDEX KEY: 0001528584 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22062 FILM NUMBER: 24756081 MAIL ADDRESS: STREET 1: PO BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28002-0338 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UWHARRIE CAPITAL CORP CENTRAL INDEX KEY: 0000898171 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] ORGANIZATION NAME: 02 Finance IRS NUMBER: 561814206 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 132 NORTH FIRST STREET STREET 2: PO BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28001 BUSINESS PHONE: 7049836181 MAIL ADDRESS: STREET 1: P O BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28002-0338 FORMER COMPANY: FORMER CONFORMED NAME: STANLY CAPITAL CORP DATE OF NAME CHANGE: 19930303 4 1 ownership.xml 4 X0508 4 2024-03-15 0000898171 UWHARRIE CAPITAL CORP UWHR 0001528584 Beaver R David III PO BOX 338 ALBEMARLE NC 28002-0338 false true false false Chief Risk Officer false Common Stock (Held jointly with Spouse) 2024-03-15 4 A false 2678 7.47 A 2678 D Common Stock 28864 D Common Stock (Held jointly with Mother) 1208 D Common Stock 3772 D Shares granted pursuant to the Uwharrie Capital Corp 2015 Revocable Stock Grant Trust. Represents a weighted average price for the issuer's common stock acquired for this grant. Held by Cede & Co., Depository for Pershing LLC Safekeeper for R. David Beaver, lll & Emily N. Beaver Jt Ten Held by Cede & Co., Depository for IRA FBO R. David Beaver, lll Pershing LLC as Custodian R. David Beaver III by Tamara M. Singletary, EVP, Uwharrie Capital Corp 2024-03-15 EX-99.RESOLUTION 2 uwhr-ex99_resolution.htm EX-99.RESOLUTION EX-99.Resolution

RESOLUTIONS 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