0000101295-19-000001.txt : 20190522 0000101295-19-000001.hdr.sgml : 20190522 20190522131519 ACCESSION NUMBER: 0000101295-19-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190520 FILED AS OF DATE: 20190522 DATE AS OF CHANGE: 20190522 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GLOBUS KENNETH H CENTRAL INDEX KEY: 0000943504 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10526 FILM NUMBER: 19844984 MAIL ADDRESS: STREET 1: C/O UNITED-GUARDIAN, INC. STREET 2: 230 MARCUS BLVD., P.O. BOX 18050 CITY: HAUPPAUGE STATE: NY ZIP: 11788 ISSUER: 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 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-05-20 0 0000101295 UNITED GUARDIAN INC UG 0000943504 GLOBUS KENNETH H C/O UNITED-GUARDIAN, INC. 230 MARCUS BLVD., P.O. BOX 18050 HAUPPAUGE NY 11788 1 1 1 0 President Common Stock 2019-05-20 4 G 0 5600 0 D 1350853 I 295,426 shares owned by the wife; 760,000 shares as co-Trustee After the transfer of the 5,600 shares being gifted, Reporting Person owns UG stock both directly and indirectly. Direct ownership is 295,427 shares, and Indirect ownership is 1,055,426 shares. Of the Indirect ownership, 295,426 shares are owned by the wife of the Reporting Person, and 760,000 shares are under the control of the Reporting Person in his role as co-Trustee of the Alfred R. Globus Testamentary Trust, the owner of those shares. In Box 6 Reporting Person indicated that his ownership was "Indirect", but he has both Direct and Indirect ownership. There was no way to choose both Direct and Indirect ownership in this box, so this was explained and enumerated in Footnote #1. /Ken Globus 2019-05-22