0001209191-22-039652.txt : 20220628 0001209191-22-039652.hdr.sgml : 20220628 20220628172836 ACCESSION NUMBER: 0001209191-22-039652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220623 FILED AS OF DATE: 20220628 DATE AS OF CHANGE: 20220628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DICK ROGER L CENTRAL INDEX KEY: 0001255676 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22062 FILM NUMBER: 221051173 MAIL ADDRESS: STREET 1: PO BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UWHARRIE CAPITAL CORP CENTRAL INDEX KEY: 0000898171 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] 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 doc4.xml FORM 4 SUBMISSION X0306 4 2022-06-23 0 0000898171 UWHARRIE CAPITAL CORP NONE 0001255676 DICK ROGER L PO BOX 338 132 NORTH FIRST STREET ALBEMARLE NC 28002-0338 0 1 0 0 President/CEO of UCC Common Stock 2517 D Common Stock 2022-06-23 5 J 0 E 83855 0.00 D 0 D Common Stock 2022-06-23 5 J 0 E 83855 0.00 A 83855 I By 401(k) Plan Common Stock 2022-06-24 4 P 0 5585 7.50 A 5585 D 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. Roger L. Dick by Tamara M. Singletary, EVP, Uwharrie Capital Corp 2022-06-28 EX-99 2 attachment1.htm EX-99 DOCUMENT

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.

	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 Companys
	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 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 February 15 2022 for which a quorum was present.


						Signed and sealed this 15th day of February 2022



						/s/ Tamara M. Singletary
						Tamara M. Singletary
						Executive Vice President & Corporate Secretary
						Uwharrie Capital Corp