STOCK TITAN
  1. Home
  2. Sec-filings
  3. UWHR
  4. [Form 4] UWHARRIE CAPITAL CORP Insider Trading Activity

Uwharrie Capital (UWHR) director adds shares via 3% stock dividend on Form 4

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

Rhea-AI Filing Summary

Uwharrie Capital Corp director Aaron D. Bates reported receiving additional common shares through a stock dividend rather than open‑market purchases. On 12/01/2025, he acquired 27 shares of common stock held "by Self TOD Spouse" at a stated price of $0.00, bringing that holding to 941 shares. On the same date, he acquired 19 shares of common stock related to an IRA account, increasing that position to 684 shares.

The filing explains that these shares were issued as part of a 3% stock dividend paid to Uwharrie Capital Corp shareholders on 12/01/2025, based on a record date of 11/10/2025. No cash was paid by the shareholder for the new shares, and no fractional shares were issued; any fractional entitlements were settled in cash.

Positive

  • None.

Negative

  • None.
Insider Bates Aaron David
Role Director
Type Security Shares Price Value
Other Common Stock (Held by Self TOD Spouse) 27 $0.00 --
Other Common Stock 19 $0.00 --
Holdings After Transaction: Common Stock (Held by Self TOD Spouse) — 941 shares (Direct); Common Stock — 684 shares (Direct)
Footnotes (1)
  1. Shares acquired as a result of a three (3%) stock dividend paid to shareholders of Uwharrie Capital Corp on 12-01-2025 as of Record Date 11-10-2025. No fractional shares were issued. Shareholders were paid cash in lieu of fractional shares. No money was paid by the shareholder(s) for the acquired shares. The shares were acquired as a result of a three (3%) stock dividend paid to shareholders of Uwharrie Capital Corp on 12-01-2025 as of Record Date 11-10-2025. Held by Cede & Co., Depository for Simple IRA FBO Aaron D. Bates Pershing LLC as Custodian
Form 4 Insider Transactions: What Each Field Means →
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 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)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/01/2025
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 (Held by Self TOD Spouse) 12/01/2025 J(1) V 27 A $0.00(2) 941 D
Common Stock(3) 12/01/2025 J(1) V 19 A $0.00(2) 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. Shares acquired as a result of a three (3%) stock dividend paid to shareholders of Uwharrie Capital Corp on 12-01-2025 as of Record Date 11-10-2025. No fractional shares were issued. Shareholders were paid cash in lieu of fractional shares.
2. No money was paid by the shareholder(s) for the acquired shares. The shares were acquired as a result of a three (3%) stock dividend paid to shareholders of Uwharrie Capital Corp on 12-01-2025 as of Record Date 11-10-2025.
3. 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 12/02/2025
** 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

FAQ

What did UWHR director Aaron D. Bates report on this Form 4?

He reported acquiring 27 shares of Uwharrie Capital Corp common stock held "by Self TOD Spouse" and 19 shares related to an IRA account on 12/01/2025, all as part of a stock dividend.

How were the new UWHR shares received by the reporting person?

The shares were received through a three (3%) stock dividend paid to Uwharrie Capital Corp shareholders on 12/01/2025, with no cash paid by the shareholder for the acquired shares.

What are Aaron D. Bates UWHR share holdings after the reported transactions?

After the transactions, he beneficially owned 941 shares of common stock held "by Self TOD Spouse" and 684 shares of common stock referenced in the IRA-related holding.

What was the record date and payment date for Uwharrie Capital Corps 3% stock dividend?

The filing states that the 3% stock dividend was paid on 12/01/2025 to shareholders of record as of 11/10/2025.

Did Aaron D. Bates pay any cash for the UWHR shares reported on this Form 4?

No. The filing notes that no money was paid by the shareholder for the acquired shares; they were issued as part of the 3% stock dividend.

How were fractional shares handled in Uwharrie Capital Corps stock dividend?

The company did not issue fractional shares. Instead, shareholders were paid cash in lieu of fractional shares resulting from the 3% stock dividend.

How are some of the UWHR shares held for Aaron D. Bates?

A portion of the reported holdings is described as being held by Cede & Co., Depository for Simple IRA FBO Aaron D. Bates, Pershing LLC as Custodian.