4//SEC Filing
GLOBUS KENNETH H 4
Accession 0000101295-20-000001
CIK 0000101295other
Filed
Mar 5, 7:00 PM ET
Accepted
Mar 6, 11:41 AM ET
Size
6.2 KB
Accession
0000101295-20-000001
Insider Transaction Report
Form 4
GLOBUS KENNETH H
Director
Transactions
- Gift
Common Stock
2020-03-05−8,000→ 1,334,853 total(indirect: SEE FOOTNOTE #3)
Footnotes (3)
- [F1]Reporting Person owns UG stock both directly and indirectly. After the transfer of the 8,000 shares being gifted as indicated in this Form 4, Direct ownership is 287,427, and Indirect ownership is 1,047,426 shares. Of the Indirect ownership, 287,426 shares are owned by Reporting Person's wife, and 760,000 shares are under the control of the Reporting Person in his role as co-Trustee of the Alfred R. Globus Testamentary Trust, the owner of those shares.
- [F2]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 is based on beneficial ownership of 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. Reporting Person's Direct and and Indirect ownership is detailed in Footnote #1.
- [F3]287,426 shares 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
- Mar 5, 7:00 PM ET
- Accepted
- Mar 6, 11:41 AM ET
- Size
- 6.2 KB