# EDGAR Filing Document

**Accession Number:** 0001658947
**File Stem:** 0000950170-25-087825
**Filing Date:** 2025-6
**Character Count:** 10970
**Document Hash:** dbb06cb869c5c5f19ada2774b430ecf3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-25-087825.hdr.sgml**: 20250618

**ACCESSION NUMBER**: 0000950170-25-087825

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250618

**FILED AS OF DATE**: 20250618

**DATE AS OF CHANGE**: 20250618

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Rankin Frank A III
- **CENTRAL INDEX KEY:** 0001658947

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-22062
- **FILM NUMBER:** 251056410

**MAIL ADDRESS:**
- **STREET 1:** PO BOX 338
- **CITY:** ALBEMARLE
- **STATE:** NC
- **ZIP:** 28002-0338
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** UWHARRIE CAPITAL CORP
- **CENTRAL INDEX KEY:** 0000898171
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 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

## Ex-99.Resolution

**RESOLUTIONS OF THE** 

**BOARD OF DIRECTORS** 

**OF** 

**UWHARRIE CAPITAL CORP**

***WHEREAS*,** the persons named below are designated as *"Reporting Persons"* of Uwharrie Capital Corp (the "Company") for purposes of Rule 16a (Reporting Requirement) to the Securities and Exchange Commission ("SEC"):

---

| | |
|:---|:---|
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1.Board of Directors | &nbsp;&nbsp;Uwharrie Capital Corp |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.Roger L. Dick | &nbsp;&nbsp;President and Chief Executive Officer – Uwharrie Capital Corp; Chief Executive Officer – Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3.R. David Beaver, III | &nbsp;&nbsp;Chief Risk Officer - Uwharrie Capital Corp and Uwharrie Bank; President – Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4.Jason R. Andrew | &nbsp;&nbsp;Chief Operations Officer – Uwharrie Capital Corp and Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5.Christy D. Stoner | &nbsp;&nbsp;President & Chief Executive Officer – Uwharrie Investment Advisors; Chief Marketing Officer – Uwharrie Capital Corp and Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6.Jeffrey L. Trout | &nbsp;&nbsp;President – Uwharrie Bank Mortgage |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;7.Heather H. Almond | &nbsp;&nbsp;Chief Financial Officer – Uwharrie Capital Corp and Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;8.Cheryl P. Rinehardt | &nbsp;&nbsp;Chief Credit Officer – Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;9.Brooke L. Senter | &nbsp;&nbsp;Chief People Officer – Uwharrie Capital Corp and Uwharrie Bank; Assistant Corporate Secretary – Uwharrie Capital Corp and Uwharrie Bank |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;10.Tamara M. Singletary | &nbsp;&nbsp;Executive Vice President – Uwharrie Capital Corp and Uwharrie Bank; Corporate Secretary – Uwharrie Capital Corp and Uwharrie Bank |

---

***FURTHER*,** all other officers of the Company are excluded from policymaking functions and, therefore, are not "Reporting Persons" of the Company.

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## *Page 2 of 2* 
*SEC "Reporting Persons" Resolution*

*UCC Board of Directors' Meeting* 

*January 21, 2025*

***FURTHER*,** those persons named will be responsible for complying with the *"Pre-Clearance Policy for Uwharrie Capital Corp Stock Transactions"* as set forth by the Board of Directors and for notifying Tamara M. Singletary, who has been designated as the Company's

contact person for stock matters, prior to engaging in any transaction involving or effecting any change in his/her beneficial ownership of equity securities of the Company including, without

limitation, any change resulting from any private negotiation trade, market trade through the Company, gifts, custodial accounts, trusts, corporations, partnerships, marriages, deaths,

incentive stock options, employee stock purchase plan, employee benefit plan, etc. in order to prevent violations of Rule 16a and 16b.

***FURTHER*,** compliance with the reporting rules is the sole responsibility of the individual Reporting Persons and not the Company; however, Tamara M. Singletary or designee will assist persons with reporting forms to ensure timely filings with the Securities and Exchange Commission (SEC).

##  ***FURTHER,*** the "Reporting Persons" authorize and designate Roger L. Dick, R. David Beaver, III, Heather H. Almond or Tamara M. Singletary to sign SEC Forms 3, 4 and 5 and file in their behalf, if needed. Notice of this signature authorization will be given to the Securities and Exchange Commission by providing a copy of this resolution.
These actions being taken at a duly called meeting of the Uwharrie Capital Corp Board of Directors on January 21, 2025, for which a quorum was present.

<u>/s/ Tamara M. Singletary</u>

Tamara M. Singletary

Executive Vice President & Corporate Secretary

Uwharrie Capital Corp

------

### 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>Rankin Frank A III<br><sub>(Last) (First) (Middle)</sub><br>PO BOX 338<br><sub>(Street)</sub><br>ALBEMARLE, NC 28002-0338<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-18 | **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>UWHARRIE CAPITAL CORP [ UWHR ] | **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 (Held by Self) | 2025-06-18 |  | A<sup>(1)</sup> |  | 159<sup>(2)</sup> | A | 9.4<sup>(3)</sup> | 50667 | D |  |

---

## 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) This acquisition represents payment for a portion of the reporting person's Annual Retainer for serving in the capacity of Director.

(2) The number of shares acquired by the reporting person is based on the amount of the Annual Retainer being paid divided by the trading price of the issuer's common stock acquired for this specific payment.

(3) Represents the trading price of the issuer's common stock acquired for this specific payment.

**Signature:** Frank A. Rankin, III by Tamara M. Singletary, EVP, Uwharrie Capital Corp  
**Date:** 2025-06-18

### 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.**