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  4. [Form 4] UWHARRIE CAPITAL CORP Insider Trading Activity

Uwharrie Capital CEO Roger L. Dick buys UWHR shares in open market

Uwharrie Capital Corp insider trading report: President and CEO Roger L. Dick reported open-market purchases of the company’s common stock.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Uwharrie Capital Corp insider trading report: President and CEO Roger L. Dick reported open-market purchases of the company’s common stock. On 12/31/2025, he acquired 489 shares at a price of $10.9499 per share and 400 shares at a price of $10.95 per share.

Following these transactions, he beneficially owned 3,651 shares of common stock in one account, 92,105 shares in another account, and 9,516 shares in an IRA account, all held for his benefit through various custodians and trustees.

Positive

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Negative

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Insider DICK ROGER L
Role President/CEO of UCC
Bought 889 shs ($10K)
Type Security Shares Price Value
Purchase Common Stock 489 $10.9499 $5K
Purchase Common Stock 400 $10.95 $4K
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 105,272 shares (Direct)
Footnotes (3)
  1. F1. Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick
  2. F2. Held by charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401K FBO Roger L. Dick
  3. F3. Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC as Custodian

FAQ

What insider transaction did UWHR report for Roger L. Dick?

Uwharrie Capital Corp reported that President and CEO Roger L. Dick purchased shares of the company’s common stock in an open-market transaction on 12/31/2025.

How many Uwharrie Capital Corp (UWHR) shares did the CEO buy?

On 12/31/2025, Roger L. Dick bought 489 shares at $10.9499 per share and 400 shares at $10.95 per share of Uwharrie Capital Corp common stock.

How many UWHR shares does Roger L. Dick beneficially own after the reported Form 4 trades?

After the reported purchases, Roger L. Dick beneficially owned 3,651 shares in one account, 92,105 shares in a retirement-related account, and 9,516 shares in an IRA account.

What is the role of Roger L. Dick at Uwharrie Capital Corp (UWHR)?

Roger L. Dick is reported as an officer of Uwharrie Capital Corp, serving as President/CEO of UCC.

How are Roger L. Dick’s UWHR shares held according to the Form 4?

The shares are held through custodians and trustees, including Cede & Co. as depository for Pershing LLC, Charles Schwab as trustee for a 401(k) plan, and Cede & Co. as depository for an IRA account.

Does the Form 4 for UWHR report any derivative securities for Roger L. Dick?

The Form 4 includes a table for derivative securities, but no derivative transactions or holdings are listed in the provided content.

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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*
DICK ROGER L
(Last) (First) (Middle)
PO BOX 338
(Street)
ALBEMARLE NC 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)
Director 10% Owner
X Officer (give title below) Other (specify below)
President/CEO of UCC
3. Date of Earliest Transaction (Month/Day/Year)
12/31/2025
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(1) 12/31/2025 P 489 A $10.9499 3,251 D
Common Stock(1) 12/31/2025 P 400 A $10.95 3,651 D
Common Stock(2) 92,105 D
Common Stock(3) 9,516 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. Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick
2. Held by charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401K FBO Roger L. Dick
3. Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC as Custodian
Roger L. Dick by Tamara M. Singletary, EVP, Uwharrie Capital Corp 01/02/2026
** 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.

Source: View Original Filing on SEC EDGAR