United-Guardian (UG) director reports 7,480-share family stock gift

Rhea-AI Filing Summary

United-Guardian director Kenneth H. Globus reported a family stock gift involving shares deemed beneficially owned by him. On January 21, 2026, 7,480 shares of United-Guardian, Inc. common stock that were owned by his wife were gifted by her to their grandson at a price of $0 per share, reflecting a non-cash transfer reported with code G. The shares are included on this Form 4 because his spouse’s holdings are treated as being beneficially owned by him.

After this transaction, the filing states that Globus’s beneficial ownership consists of 279,027 shares held directly and 1,031,546 shares held indirectly. Of the indirect amount, 271,546 shares are owned by his wife and 760,000 shares are controlled by him as co‑trustee of the Alfred R. Globus Testamentary Trust, which is treated as beneficially owned due to his voting authority.

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^*

GLOBUS KENNETH H

(Last) (First) (Middle)

C/O UNITED-GUARDIAN, INC.

230 MARCUS BLVD., P.O. BOX 18050

(Street)

HAUPPAUGE NY 11788

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
UNITED GUARDIAN INC [ UG ]

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)
01/21/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/21/2026		G		7,480	D	$0	1,031,546	I(1)	SEE FOOTNOTES(2)(3)

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. These shares were owned by my wife and were gifted by her to my grandson. They are being reported here because her stock ownership is deemed to be owned beneficially by me by nature of her being my wife. I am considered an affiliate of the company due to my being on the company's Board of Directors.

2. 1. In Field 6 Reporting Person indicated that his ownership is "Indirect" because there is no option to state ownership as both "Direct" AND "Indirect". The majority of Reporting Person's ownership of UG stock is Indirect beneficial ownership based upon stock owned by his spouse and by the Alfred R. Globus Testamentary Trust, of which he is a Trustee and has sole voting rights. As a result, the stock owned by the Testamentary Trust is considered to be beneficially owned by Reporting Person. Reporting Person's Direct and Indirect ownership is detailed in Footnote #3.

3. 2. Reporting Person owns UG stock both Directly and Indirectly. After the transfer of the 7,480 shares being gifted by Reporting Person's wife as indicated in this Form 4, Reporting Person's Direct ownership remains at 279,027 shares, and Indirect ownership is 1,031,546 shares. Of the Indirect ownership, 271,546 shares are owned by Reporting Person's wife, and 760,000 shares are under the control of the Reporting Person, and therefore considered beneficially owned, pursuant to his role as co-Trustee of the Alfred R. Globus Testamentary Trust, the owner of those 760,000 shares.

	/S/ Ken Globus	01/23/2026
	** 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.

FAQ

What insider transaction did United-Guardian (UG) report on this Form 4?

The Form 4 reports a code G (gift) transaction on January 21, 2026 involving 7,480 shares of United-Guardian common stock. The shares were owned by the director’s wife and were gifted by her to their grandson at $0 per share, and are reported because her holdings are deemed beneficially owned by the director.

Who is the reporting person on this United-Guardian (UG) Form 4 and what is their role?

The reporting person is Kenneth H. Globus, who is identified as a director of United-Guardian, Inc. He is considered an affiliate of the company due to his position on the Board of Directors.

How many United-Guardian (UG) shares did the family gift involve?

The reported family gift involved 7,480 shares of United-Guardian common stock. These shares were previously owned by the director’s wife and were gifted by her to their grandson, with no sale proceeds since the transaction price is shown as $0 per share.

What is Kenneth H. Globus’s beneficial ownership in United-Guardian (UG) after the reported gift?

After the reported transaction, the filing states that Kenneth H. Globus beneficially owns 279,027 shares directly and 1,031,546 shares indirectly. Within the indirect holdings, 271,546 shares are owned by his wife and 760,000 shares are held by the Alfred R. Globus Testamentary Trust, over which he has voting control as co‑trustee.

Why are the spouse and trust holdings reported as beneficially owned by the United-Guardian (UG) director?

The filing explains that the director’s wife’s stock ownership is deemed to be beneficially owned by him because she is his spouse. It also notes that 760,000 shares held by the Alfred R. Globus Testamentary Trust are considered beneficially owned by him because he serves as a trustee with sole voting rights over those shares.

Does this United-Guardian (UG) Form 4 reflect a sale of shares by the director?

No sale is reported. The transaction is identified as a gift (code G) at $0 per share, involving shares owned by the director’s wife that were gifted to their grandson. The director reports the transaction because those shares are deemed to be beneficially owned by him.