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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GLOBUS KENNETH H C/O UNITED-GUARDIAN, INC. 230 MARCUS BLVD., P.O. BOX 18050 HAUPPAUGE, NY 11788 |
X | X | President |
/s/ Ken Globus | 09/25/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | After the transfer of the 5,620 shares being gifted, Reporting Person's Direct ownership is 301,027 shares, and Indirect ownership is 1,061,026 shares. Of the Indirect ownership, 301,026 share are owned by the wife of the Reporting Person, and 760,000 shares are under the direct control of the Reporting Person as co-trustee of the Alfred R. Globus Testamentary Trust. |
Remarks: Since this form doesn't allow detailed explanations if "Direct" ownership" is indicated in box 10, Reporting Person has used "Indirect" in box 10 so that a more detailed explanation of Reporting Person's ownership can be described. As a result, there are 301,027 shares that are owned Directly by Reporting Person, and the balance of the 1,362,053 shares are beneficially owned by Reporting person due to the ownership of 301,026 shares by Reporting Person's wife, and 760,000 shares owned by the Alfred R. Globus Testamentary Trust, of which the Reporting Person is a co-trustee. |