# EDGAR Filing Document

**Accession Number:** 0000101295
**File Stem:** 0000943504-26-000001
**Filing Date:** 2026-1
**Character Count:** 7190
**Document Hash:** 33842aecec9be7464276499e51f860b7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000943504-26-000001.hdr.sgml**: 20260123

**ACCESSION NUMBER**: 0000943504-26-000001

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260121

**FILED AS OF DATE**: 20260123

**DATE AS OF CHANGE**: 20260123

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GLOBUS KENNETH H
- **CENTRAL INDEX KEY:** 0000943504

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-10526
- **FILM NUMBER:** 26553685

**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]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 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:** 230 MARCUS BLVD.
- **CITY:** HAUPPAUGE
- **STATE:** NY
- **ZIP:** 11788

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** UNITED INTERNATIONAL RESEARCH INC
- **DATE OF NAME CHANGE:** 19820422

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GLOBUS KENNETH H<br><sub>(Last) (First) (Middle)</sub><br>C/O UNITED-GUARDIAN, INC.<br>230 MARCUS BLVD., P.O. BOX 18050<br><sub>(Street)</sub><br>HAUPPAUGE, NY 11788<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2026-01-21 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>UNITED GUARDIAN INC [ UG ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2026-01-21 |  | G |  | 7480 | D | $0 | 1031546 | I<sup>(1)</sup> | SEE FOOTNOTES<sup>(2)(3)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) These shares were owned by my wife and were gifted by her to my grandson. They are being reported here because her stock ownership is deemed to be owned beneficially by me by nature of her being my wife. I am considered an affiliate of the company due to my being on the company's Board of Directors.

(2) 1. In Field 6 Reporting Person indicated that his ownership is "Indirect" because there is no option to state ownership as both "Direct" AND "Indirect". The majority of Reporting Person's ownership of UG stock is Indirect beneficial ownership based upon stock owned by his spouse and by the Alfred R. Globus Testamentary Trust, of which he is a Trustee and has sole voting rights. As a result, the stock owned by the Testamentary Trust is considered to be beneficially owned by Reporting Person. Reporting Person's Direct and Indirect ownership is detailed in Footnote #3.

(3) 2. Reporting Person owns UG stock both Directly and Indirectly. After the transfer of the 7,480 shares being gifted by Reporting Person's wife as indicated in this Form 4, Reporting Person's Direct ownership remains at 279,027 shares, and Indirect ownership is 1,031,546 shares. Of the Indirect ownership, 271,546 shares are owned by Reporting Person's wife, and 760,000 shares are under the control of the Reporting Person, and therefore considered beneficially owned, pursuant to his role as co-Trustee of the Alfred R. Globus Testamentary Trust, the owner of those 760,000 shares.

**Signature:** /S/ Ken Globus  
**Date:** 2026-01-23

### Remarks:

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.

**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 Number.**