4//SEC Filing
GLOBUS KENNETH H 4
Accession 0000101295-21-000001
CIK 0000101295other
Filed
Feb 21, 7:00 PM ET
Accepted
Feb 22, 3:42 PM ET
Size
6.2 KB
Accession
0000101295-21-000001
Insider Transaction Report
Form 4
GLOBUS KENNETH H
Director
Transactions
- Gift
Common Stock
2021-02-19−8,400→ 1,318,053 total(indirect: SEE FOOTNOTE #3)
Footnotes (3)
- [F1]In Field 6 Reporting Person indicated that his ownership is "Indirect", but that is only 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 UG stock owned both by his wife 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 #2.
- [F2]Reporting Person owns UG stock both Directly and Indirectly. After the transfer of the 8,400 shares being gifted as indicated in this Form 4, Direct ownership is now 279,027, and Indirect ownership is 1,039,026 shares. Of the Indirect ownership, 279,026 shares are owned by Reporting Person's wife, and 760,000 shares are under the control of the Reporting Person pursuant to his role as co-Trustee of the Alfred R. Globus Testamentary Trust, the owner of those shares.
- [F3]270,026 shares of UG stock are owned by Reporting Person's wife, and 760,000 shares are owned by the Alfred R. Globus Testamentary Trust, of which the Reporting Person is a Trustee and has sole voting rights.
Documents
Issuer
UNITED GUARDIAN INC
CIK 0000101295
Entity typeother
Related Parties
1- filerCIK 0000943504
Filing Metadata
- Form type
- 4
- Filed
- Feb 21, 7:00 PM ET
- Accepted
- Feb 22, 3:42 PM ET
- Size
- 6.2 KB