UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bowers Dean M PO BOX 338 ALBEMARLE, NC 28002-0338 |
 X |  |  |  |
Dean M. Bowers by Tamara M. Singletary, EVP, Uwharrie Capital Corp | 05/31/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(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. |