Uwharrie Capital CEO transfers 3,651 shares to trust

The account transfer involved no money received for the disposed shares or paid for the acquired shares.

Rhea-AI Filing Summary

Uwharrie Capital Corp (UWHR) reported that Roger L. Dick, President/CEO of UCC, transferred 3,651 common shares on September 29, 2026, from a sole-name brokerage safekeeper account to a revocable trust brokerage safekeeper account. The footnotes state that no money was received for the disposed shares and no money was paid for the acquired shares.

Insider Trade Summary

Other: 7,302 shares

Other 4 txns

Insider DICK ROGER L

Role President/CEO of UCC

Type	Security	Shares	Price	Value
Other	Common Stock F1, F2, F3	3,651	$0.00	$0.00
Other	Common Stock F6, F2, F7	3,651	$0.00	$0.00
holding	Common Stock F4	--	--	--
holding	Common Stock F5	--	--	--

Holdings After Transaction: Common Stock — 105,272 shares (Direct)

Footnotes (7)

1. F1. Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick
2. F2. Transfer of shares from a sole name safekeeper account held by Cede & Co., Depository for Pershing, LLC to a revocable trust brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC
3. F3. No money was received by the shareholder for the disposed shares. The shares were disposed of as result of a transfer of shares from a sole name brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC to a revocable trust brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC
4. F4. Held by charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401K FBO Roger L. Dick
5. F5. Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC as Custodian
6. F6. Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L Dick Rev Trust UAD 09/04/26 Roger L Dick Ttee
7. F7. No money was paid by the shareholder for the acquired shares. The shares were acquired as result of a transfer of shares from a sole name brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC to a revocable trust brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC

Key Figures

Shares disposed: 3,651 shares Shares acquired: 3,651 shares

2 metrics

Shares disposed 3,651 shares From a sole-name brokerage safekeeper account on September 29, 2026

Shares acquired 3,651 shares Into a revocable trust brokerage safekeeper account on September 29, 2026

Key Terms

revocable trust, safekeeper account, FBO

3 terms

revocable trust financial

"revocable trust brokerage safekeeper account"

A revocable trust is a legal arrangement where the person who creates it keeps control and can change or cancel the trust at any time, while naming who will manage and receive the assets later. Think of it like a flexible folder for your investments and property that can be relabeled or reworked as circumstances change; it matters to investors because it determines how ownership is recorded, how easily assets transfer on incapacity or death, and whether holdings bypass public probate proceedings.

safekeeper account financial

"sole name safekeeper account"

FBO financial

"Employee 401K FBO Roger L. Dick"

FBO (short for "for benefit of") indicates that funds or assets are held by one party — such as a bank, broker, or trustee — on behalf of another person or entity who is the true owner. It matters to investors because it clarifies who ultimately has the right to the assets, who bears the risk if something goes wrong, and how money moves or is reported; think of it like a safety deposit box held by a bank for a named customer.

FAQ

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

How many UWHR shares did Roger L. Dick transfer to a revocable trust?

Roger L. Dick reported a transfer of 3,651 common shares from a sole-name brokerage safekeeper account to a revocable trust brokerage safekeeper account on September 29, 2026.

Did Roger L. Dick receive money for the UWHR share transfer?

The footnotes state that no money was received for the disposed shares and no money was paid for the acquired shares.

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

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Available on EDGAR 09/29/2026 - 02:51 PM Accepted by SEC EDGAR 09/29/2026 - 02:51 PM 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^*

DICK ROGER L

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President/CEO of UCC

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/29/2026

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(1)	09/29/2026		J(2)		3,651	D	$0.00(3)	0	D
Common Stock(4)								92,105	D
Common Stock(5)								9,516	D
Common Stock(6)	09/29/2026		J(2)		3,651	A	$0.00(7)	3,651	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. Transfer of shares from a sole name safekeeper account held by Cede & Co., Depository for Pershing, LLC to a revocable trust brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC

3. No money was received by the shareholder for the disposed shares. The shares were disposed of as result of a transfer of shares from a sole name brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC to a revocable trust brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC

4. Held by charles SCHWAB, Uwharrie Retirement Committee Trustee, Uwharrie Capital Corp Employee 401K FBO Roger L. Dick

5. Held by Cede & Co., Depository for IRA FBO Roger L. Dick Pershing LLC as Custodian

6. Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L Dick Rev Trust UAD 09/04/26 Roger L Dick Ttee

7. No money was paid by the shareholder for the acquired shares. The shares were acquired as result of a transfer of shares from a sole name brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC to a revocable trust brokerage safekeeper account held by Cede & Co., Depository for Pershing, LLC

	Roger L. Dick by Tamara M. Singletary, EVP, Uwharrie Capital Corp	09/29/2026
	** 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)