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
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
DICK ROGER L

(Last) (First) (Middle)
PO BOX 338
132 NORTH FIRST STREET

(Street)
ALBEMARLE NC 28002-0338

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
UWHARRIE CAPITAL CORP [ NONE ]
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
3. Date of Earliest Transaction (Month/Day/Year)
07/06/2009
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 (See Footnote 1)(1) 07/06/2009 A(2) 1,905.421 A $3.8 11,854.83 D
Common Stock (See Footnote 3)(3) 28,041 D
Common Stock (See Footnote 4)(4) 486 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
Stock Options (Right to Purchase) $4.215 11/29/1999(5) 11/29/2009 Common Stock 70,590 70,590 D
Explanation of Responses:
1. Held by Uwharrie Capital Corp Employee Stock Ownership Plan for Roger L. Dick
2. Shares granted to Roger L. Dick by Uwharrie Capital Corp Employee Stock Ownership Plan (ESOP). Granting of shares first reported to Roger L. Dick by Uwharrie Capital Corp on 07/06/2009 as of 12/31/2008.
3. Held by Cede & Co., Depository for PTC Custodian FBO Roger L. Dick - IRA
4. Held by Cede & Co., Depository for Pershing Safekeeper for Roger L. Dick
5. 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 07/06/2009
** 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.
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