Uwharrie director receives stock as retainer pay

Bates Aaron David reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Bates Aaron David reported acquisition or exercise transactions in this Form 4 filing.

UWHARRIE CAPITAL CORP director Aaron David Bates received company stock as part of his board compensation. The filing shows a grant of 132 shares of Common Stock (held as “Self TOD Spouse”) at a weighted average price of $11.293 per share, representing payment of a portion of his Annual Retainer for serving as a director. After this grant, that account holds 1,215 shares of common stock, and a separate direct holding of 684 common shares is also listed.

Insider Trade Summary

Grant/Award: 132 shares

Grant/Award 2 txns

Insider Bates Aaron David

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock (Held by Self TOD Spouse)	132	$11.293	$1K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock (Held by Self TOD Spouse) — 1,215 shares (Direct); Common Stock — 684 shares (Direct)

Footnotes (4)

1. F1. This acquisition represents payment for a portion of the reporting person's Annual Retainer for serving in the capacity of Director.
2. F2. The number of shares acquired by the reporting person is based on the amount of the Annual Retainer being paid divided by a weighted average price of the issuer's common stock acquired for this specific payment.
3. F3. Represents a weighted average price of the issuer's common stock acquired for this specific payment.
4. F4. Held by Cede & Co., Depository for Simple IRA FBO Aaron D. Bates Pershing LLC as Custodian

Key Figures

Shares granted: 132 shares Grant price: $11.293 per share Shares after grant in TOD Self/Spouse account: 1,215 shares +1 more

4 metrics

Shares granted 132 shares Common Stock (Held by Self TOD Spouse) grant tied to Annual Retainer

Grant price $11.293 per share Weighted average price used to calculate the retainer stock payment

Shares after grant in TOD Self/Spouse account 1,215 shares Total Common Stock (Held by Self TOD Spouse) following transaction

Other direct common shares 684 shares Separate Common Stock holding, held directly

Key Terms

Annual Retainer, Grant, award, or other acquisition, Common Stock (Held by Self TOD Spouse), Simple IRA

4 terms

Annual Retainer financial

"This acquisition represents payment for a portion of the reporting person's Annual Retainer for serving in the capacity of Director."

Grant, award, or other acquisition financial

"transaction_code_description": "Grant, award, or other acquisition""

Common Stock (Held by Self TOD Spouse) financial

"security_title": "Common Stock (Held by Self TOD Spouse)""

Simple IRA financial

"Depository for Simple IRA FBO Aaron D. Bates Pershing LLC as Custodian"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did UWHR director Aaron David Bates report in this Form 4?

Director Aaron David Bates reported receiving 132 UWHARRIE CAPITAL CORP common shares as part of his Annual Retainer. The stock grant is compensation for board service, not an open-market purchase, and increases one reported account’s holdings to 1,215 shares.

How many UWHR shares did the director acquire and at what price?

He acquired 132 shares of UWHARRIE CAPITAL CORP common stock at a weighted average price of $11.293 per share. The filing notes this price reflects stock acquired specifically to satisfy a portion of his Annual Retainer compensation for serving as a director.

Is the UWHR Form 4 transaction an open-market buy or a compensation grant?

The Form 4 describes the UWHR transaction as a grant or award acquisition tied to the director’s Annual Retainer. Footnotes confirm the shares represent payment of board compensation, indicating a compensation grant rather than a discretionary open-market stock purchase.

What are Aaron David Bates’s UWHR share holdings after the reported grant?

After the grant, the “Common Stock (Held by Self TOD Spouse)” account holds 1,215 shares. A separate line shows 684 common shares held directly in another account, providing a snapshot of the director’s reported UWHARRIE CAPITAL CORP equity position in this filing.

How was the number of UWHR shares in the director’s grant determined?

The filing states the 132 shares were calculated by dividing the retainer amount being paid in stock by a weighted average price of UWHARRIE CAPITAL CORP common shares acquired for this specific payment, resulting in the disclosed share count and price.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/18/2026 - 02:07 PM EDT Learn about SEC filing dates

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

Bates Aaron David

(Last) (First) (Middle)

PO BOX 338

(Street)

ALBEMARLE NORTH CAROLINA 28002-0338

(City) (State) (Zip)

UNITED STATES

(Country)

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)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/17/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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

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 (Held by Self TOD Spouse)	06/17/2026		A(1)		132(2)	A	$11.293(3)	1,215	D
Common Stock(4)								684	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. This acquisition represents payment for a portion of the reporting person's Annual Retainer for serving in the capacity of Director.

2. The number of shares acquired by the reporting person is based on the amount of the Annual Retainer being paid divided by a weighted average price of the issuer's common stock acquired for this specific payment.

3. Represents a weighted average price of the issuer's common stock acquired for this specific payment.

4. Held by Cede & Co., Depository for Simple IRA FBO Aaron D. Bates Pershing LLC as Custodian

	Aaron D. Bates by Tamara M. Singletary, EVP, Uwharrie Capital Corp	06/18/2026
	** 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.
* Form 4: SEC 1474 (03-26)