-----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, TCOkYW0A1KniqUxKp1cPrxBlr2iYu8aaetz6cRG+Aag7TjDTFTIwrJKlXviKXH+i 9BFG/H7nnraV/9adBViOMg== 0001181431-08-026228.txt : 20080423 0001181431-08-026228.hdr.sgml : 20080423 20080423152650 ACCESSION NUMBER: 0001181431-08-026228 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080422 FILED AS OF DATE: 20080423 DATE AS OF CHANGE: 20080423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DICK ROGER L CENTRAL INDEX KEY: 0001255676 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22062 FILM NUMBER: 08771678 BUSINESS ADDRESS: BUSINESS PHONE: 7049824415 MAIL ADDRESS: STREET 1: PO BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UWHARRIE CAPITAL CORP CENTRAL INDEX KEY: 0000898171 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 561814206 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 132 NORTH FIRST STREET STREET 2: PO BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28001 BUSINESS PHONE: 7049836181 MAIL ADDRESS: STREET 1: P O BOX 338 CITY: ALBEMARLE STATE: NC ZIP: 28002-0338 FORMER COMPANY: FORMER CONFORMED NAME: STANLY CAPITAL CORP DATE OF NAME CHANGE: 19930303 4 1 rrd203680.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0202 4 2008-04-22 0 0000898171 UWHARRIE CAPITAL CORP NONE 0001255676 DICK ROGER L PO BOX 338 132 NORTH FIRST STREET ALBEMARLE NC 28002-0338 0 1 0 0 President/CEO of UCC Common Stock (See Footnote 1) 2008-04-22 4 S 0 1500 4.65 D 472 D Common Stock (See Footnote 2) 18156 D Common Stock (See Footnote 3) 8237.146 D Stock Options (Right to Purchase) 4.342 1999-11-29 2009-11-29 Common Stock 68534 68534 D Held by Cede & Co., Depository for Pershing LLC Safekeeper for Roger L. Dick Held by Cede & Co., Depository for Pershing LLC Custodian FBO Roger L. Dick - IRA Held by Uwharrie Capital Corp Employee Stock Ownership Plan for Roger L. Dick Incentive Stock Options granted 11/29/1999 vest in four unequal annual installments beginning 11/29/1999. Roger L. Dick by Tamara M. Singletary, EVP, Uwharrie Capital Corp 2008-04-23 -----END PRIVACY-ENHANCED MESSAGE-----