# EDGAR Filing Document

**Accession Number:** 0000898171
**File Stem:** 0001209191-23-005157
**Filing Date:** 2023-1
**Character Count:** 10677
**Document Hash:** 8492a32911e373274397fbbadac0a337
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-005157.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001209191-23-005157

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 3

**CONFORMED PERIOD OF REPORT**: 20230117

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Bates Aaron David
- **CENTRAL INDEX KEY:** 0001963645

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-22062
- **FILM NUMBER:** 23559992

**MAIL ADDRESS:**
- **STREET 1:** PO BOX 338
- **CITY:** ALBEMARLE
- **STATE:** NC
- **ZIP:** 28001
**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-24

```
<PRE>

POWER OF ATTORNEY for SECURITIES & EXCHANGE COMMISSION (SEC) SECTION 16(a)
REPORTING

	Know all by these presents, that the undersigned hereby constitutes and
appoints each of Roger L. Dick, President & Chief Executive Officer; R. David
Beaver, III, Chief Risk Officer; and Tamara M. Singletary, Executive Vice
President, Investor Relations & Corporate Secretary and each of them acting
alone, the undersigneds true and lawful attorney in fact to:
      Execute for and on behalf of the undersigned, in the undersigneds capacity
as an officer, director and/or 10% or more shareholder of Uwharrie Capital Corp
(the Company), Forms 3, 4, and 5 (and any amendments thereto) in accordance with
Section 16(a) of the Securities Exchange Act or 1934, as amended (the 1934 Act),
and the rules promulgated thereunder;
      (1) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete and execute any such Form 3, 4,
or 5 (and any amendment thereto) and to file timely such Form with the United
States Securities and Exchange Commission and any stock exchange or similar
authority; and

      (2) take any other action of any type whatsoever in connection with the
foregoing which in the opinion of such attorney in fact may be of benefit to, in
the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney in fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney in fact may approve in such
attorney in facts discretion.

	The undersigned hereby grants to each such attorney in fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney in fact, or such attorney
in facts substitute or substitutes, shall lawfully do or cause to be done by
virtue of this Power of Attorney and the rights and powers herein granted.  The
undersigned acknowledges that the foregoing attorneys in fact, in serving in
such capacity  at the request of the undersigned, are not assuming, nor is the
Company assuming, any of the undersigneds responsibilities to comply with
Section 16 of the 1934 Act.
	This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigneds holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to each
of the foregoing attorneys in fact.
	IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed this 23rd day of January, 2023.
	By:  SEC Reporting Person

/s/ Aaron David Bates					Aaron David Bates
(Signature of Reporting Person)				(Print Name)

</PRE>
```

## 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 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, 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 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Bates Aaron David<br><sub>(Last) (First) (Middle)</sub><br>PO BOX 338<br><sub>(Street)</sub><br>ALBEMARLE, NC 28001-0338<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>UWHARRIE CAPITAL CORP [ NONE ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-17 | **4. 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>_ _ | **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 Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Voting Common Stock | 0 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |

---

**Signature:** Aaron D. Bates by Tamara M. Singletary, EVP, Uwharrie Capital Corp  
**Date:** 2023-01-27

### 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.**