# EDGAR Filing Document

**Accession Number:** 0001528584
**File Stem:** 0001209191-23-021501
**Filing Date:** 2023-3
**Character Count:** 9603
**Document Hash:** 3ca70e53da2f9d103e1de3b524d03c62
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-021501.hdr.sgml**: 20230329

**ACCESSION NUMBER**: 0001209191-23-021501

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230327

**FILED AS OF DATE**: 20230329

**DATE AS OF CHANGE**: 20230329

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Beaver R David III
- **CENTRAL INDEX KEY:** 0001528584

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-22062
- **FILM NUMBER:** 23774808

**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]
- **IRS NUMBER:** 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

```
<PRE>

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"):

	1.   Board of Directors		Uwharrie Capital Corp

	2.   Roger L. Dick		President and Chief Executive Officer
					Uwharrie Capital Corp;
					Chief Executive Officer Uwharrie Bank

	3.   R. David Beaver, III	Chief Risk Officer
					Uwharrie Capital Corp and Uwharrie Bank;
					President Uwharrie Bank

	4.  Jason R. Andrew		Chief Operations Officer
					Uwharrie Capital Corp and Uwharrie Bank

	5.  Christy D. Stoner 		President & Chief Executive Officer
					Uwharrie Investment Advisors;
					Chief Marketing Officer
					Uwharrie Capital Corp and Uwharrie Bank

	6.  Jeffrey L. Trout		President Uwharrie Bank Mortgage

	7.  Heather H. Almond		Chief Financial Officer
					Uwharrie Capital Corp and Uwharrie Bank

	8.  Cheryl P. Rinehardt		Chief Credit Officer Uwharrie Bank

	9.  Brooke L. Senter		Chief People Officer Uwharrie Capital Corp and
					Uwharrie Bank; Assistant Corporate Secretary
					Uwharrie Capital Corp and Uwharrie Bank

	10. Tamara M. Singletary	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.

Page 2 of 2
SEC "Reporting Persons" Resolution
UCC Board of Directors Meeting
January 17, 2023

	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 Companys 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, 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 17, 2023, for which a quorum was present.

						/s/ Tamara M. Singletary
						Tamara M. Singletary
						Executive Vice President & Corporate Secretary
						Uwharrie Capital Corp

</PRE>
```

### 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>Beaver R David III<br><sub>(Last) (First) (Middle)</sub><br>PO BOX 338<br>132 NORTH FIRST STREET<br><sub>(Street)</sub><br>ALBEMARLE, NC 28002-0338<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-27 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Risk Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>UWHARRIE CAPITAL CORP [ NONE ] | **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 jointly with Mother) |  |  |  |  |  |  |  | 1185 | D |  |
| Common Stock<sup>(1)</sup> |  |  |  |  |  |  |  | 3699 | D |  |
| Common Stock<sup>(2)</sup> |  |  |  |  |  |  |  | 25702 | D |  |
| Common Stock (Held jointly with Spouse) | 2023-03-27 |  | A<sup>(3)</sup> |  | 2597 | A | 7.70<sup>(4)</sup> | 2597 | 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) Held by Cede & Co., Depository for IRA FBO R. David Beaver, III Pershing LLC As Custodian

(2) Held by Cede & Co., Depository for Pershing LLC Safekeeper for R. David Beaver, III & Emily N. Beaver Jt Ten

(3) Shares granted pursuant to the Uwharrie Capital Corp 2015 Revocable Stock Grant Trust.

(4) Represents a weighted average price for the issuer's common stock acquired for this grant.

**Signature:** R. David Beaver, III, by Tamara M. Singletary, EVP, Uwharrie Capital Corp  
**Date:** 2023-03-29

### 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.**