-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KhZsUNk72ON02KQn6Pwqe6uOtJEc24ahwnUMEp2XbxAYEk5T8drV36h4JMuZVcZB 0Nx9LLflyHU9Es+EJpgYBw== 0000101295-04-000016.txt : 20041207 0000101295-04-000016.hdr.sgml : 20041207 20041207140904 ACCESSION NUMBER: 0000101295-04-000016 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041207 DATE AS OF CHANGE: 20041207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED GUARDIAN INC CENTRAL INDEX KEY: 0000101295 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 111719724 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-10526 FILM NUMBER: 041188201 BUSINESS ADDRESS: STREET 1: 230 MARCUS BLVD CITY: HAUPPAUGE STATE: NY ZIP: 11788 BUSINESS PHONE: 631-273-0900 MAIL ADDRESS: STREET 1: P.O. BOX 18050 STREET 2: 230 MARCUS BLVD. CITY: HAUPPAUGE STATE: NY ZIP: 11788 FORMER COMPANY: FORMER CONFORMED NAME: UNITED INTERNATIONAL RESEARCH INC DATE OF NAME CHANGE: 19820422 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GLOBUS KENNETH H CENTRAL INDEX KEY: 0000943504 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: BUSINESS PHONE: 631-273-0900 MAIL ADDRESS: STREET 1: C/O UNITED-GUARDIAN, INC. STREET 2: 230 MARCUS BLVD., P.O. BOX 18050 CITY: HAUPPAUGE STATE: NY ZIP: 11788 144 1 form144-ken_globus120704.txt FORM 144 - KEN GLOBUS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker - -------------------------------------------------------------------------------- 1(a) NAME OF ISSUER (Please type or print) UNITED-GUARDIAN, INC. - -------------------------------------------------------------------------------- 1(b) IRS IDENT. NO. |(c) SEC FILE NO. | 11-1719724 | 1-10526 - -------------------------------------------------------------------------------- 1(d) ADDRESS OF ISSUER STREET 230 Marcus Blvd., P.O. Box 18050 - -------------------------------------------------------------------------------- 1(d) CITY STATE ZIP CODE Hauppauge NY 11788 - -------------------------------------------------------------------------------- 1(e) TELEPHONE - -------------------------------------------------------------------------------- AREA CODE | NUMBER | 631 | 273-0900 - -------------------------------------------------------------------------------- 2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD Kenneth H. Globus - -------------------------------------------------------------------------------- 2(b) IRS IDENT. NO. (c) RELATIONSHIP TO ISSUER Director - -------------------------------------------------------------------------------- 2(d) ADDRESS STREET 19 McCulloch Drive - -------------------------------------------------------------------------------- 2(d) CITY STATE ZIP CODE Dix Hills NY 10021 - -------------------------------------------------------------------------------- INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the SEC File Number.
__________ | SEC USE | 3(a) |(b) | ONLY | (c) |(d) |(e) |(f) |(g) Title of the | Name and Address of Each |__________| Number of | Aggregate | Number of | Approximate |Name of Each | Class of | Broker Through Whom the | Broker- | Shares or | Market | Shares or | Date of Sale | Securities | Securities | Securities are to be | Dealer | Other Units | Value | Other Units| (See instr. | Exchange | to be Sold | Offered or Each Market | File | to be Sold |(See instr.| Outstanding| 3(f)) |(See instr. | | Maker who is Aquiring the | Number | (See instr. | 3(d)) | (See instr.| (MO. DAY YR.)| 3(g)) | | Securities | | 3(c)) | | 3(e)) | | | | | | | | | | | | | | | | | | | - -------------------------------------------------------------------------------------------------------------------------------- | | | | | | | | | Charles Schwab & Co., Inc. | | | | | | | Common | 101 Montgomery St. | | 2,000 | $17,000 | 4,929,539 | 12/7/04 | AMEX | | San Francisco, CA 94104 | | | | | | | - --------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: 1.(a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer'S S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2.(a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3.(a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debit securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold TABLE I - SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
| Name of Person | | from Whom Acquired | Amount of | Title of |Date You | Nature of | (If gift, also give date | Securities | Date of | | the Class |Acquired |Acquisition Transaction| donor acquired) | Acquired | Payment | Nature of Payment | - --------------------------------------------------------------------------------------------------------------------------------- | | | | | | | | | | | | | | Common | 12/7/04* | Cashless exercise of | United-Guardian, Inc. | 2,000 | 12/7/04* | Cashless exercise | | | stock option through | | | | | | | Broker | | | | | - ---------------------------------------------------------------------------------------------------------------------------------
* This filing is to report the future cashless exercise of a stock option. For that reason, the actual stock acquisition date and date of payment will coincide with the date of sale of the stock, since the exercise of the stock option, acquisition of the stock, and sale of the stock will all happen concurrently. INSTRUCTIONS: 1. If the securities were purchased and full payment therefore was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. 2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto. TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Amount of Gross Name and Address of Seller Title of Securities Sold Date of Sale Securities Proceeds - ------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------
REMARKS: INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. ATTENTION: The person for whose account the securities to which this notice relates are to sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which have not been publicly disclosed. 12/7/04 /s/ Ken Globus - ----------------------- ------------------------------------------------------ (DATE OF NOTICE) (SIGNATURE) The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----