SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
Bowers Dean M

(Last) (First) (Middle)
PO BOX 338

(Street)
ALBEMARLE NC 28002-0338

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/08/2018
3. Issuer Name and Ticker or Trading Symbol
UWHARRIE CAPITAL CORP [ NONE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
05/09/2018
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock(1)(2) 902 I Held by Cede & Co., Depository for Pershing LLC Safekeeper for Daughter of Reporting Person Solely
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Held by Cede & Co., Depository for Pershing LLC Safekeeper for Daughter of Reporting Person Solely
2. Initially reported on Form 3 filed on 05-09-2018 as held by Cede & Co., Depository for Pershing LLC Safekeeper for Dean Michael Bowers Custodian for Daughter. As indicated in this report, these shares are directly beneficially owned by the reporting person's daughter and are not held by the reporting person as custodian for his daughter as originally reported.
Remarks:
The original Form 3 filed on 05-09-2018 listed the following as indirectly beneficially owned by the reporting person: 902 shares of common stock held by Cede & Co., Depository for Pershing LLC Safekeeper for Dean Michael Bowers Custodian for Son. These shares have been deleted from the reporting person's indirect beneficial ownership due to the fact that (1) the reporting person's son is the direct beneficial owner of the shares, i.e., they are not held by the reporting person as custodian, and (2) the reporting person's son does not share the reporting person's household.
Dean M. Bowers by Tamara M. Singletary, EVP, Uwharrie Capital Corp 05/31/2018
** 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 5 (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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