Kenneth H. Globus - 21 Jan 2026 Form 4 Insider Report for UNITED GUARDIAN INC (UG)

Role
Director
Signature
/S/ Ken Globus
Issuer symbol
UG
Transactions as of
21 Jan 2026
Net transactions value
$0
Form type
4
Filing time
23 Jan 2026, 09:34:51 UTC
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
GLOBUS KENNETH H Director C/O UNITED-GUARDIAN, INC., 230 MARCUS BLVD., P.O. BOX 18050, HAUPPAUGE /S/ Ken Globus 23 Jan 2026 0000943504

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UG Common Stock Gift $0 -7,480 -0.72% $0.000000 1,031,546 21 Jan 2026 SEE FOOTNOTES F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were owned by my wife and were gifted by her to my grandson. They are being reported here because her stock ownership is deemed to be owned beneficially by me by nature of her being my wife. I am considered an affiliate of the company due to my being on the company's Board of Directors.
F2 1. In Field 6 Reporting Person indicated that his ownership is "Indirect" 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 stock owned by his spouse 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 #3.
F3 2. Reporting Person owns UG stock both Directly and Indirectly. After the transfer of the 7,480 shares being gifted by Reporting Person's wife as indicated in this Form 4, Reporting Person's Direct ownership remains at 279,027 shares, and Indirect ownership is 1,031,546 shares. Of the Indirect ownership, 271,546 shares are owned by Reporting Person's wife, and 760,000 shares are under the control of the Reporting Person, and therefore considered beneficially owned, pursuant to his role as co-Trustee of the Alfred R. Globus Testamentary Trust, the owner of those 760,000 shares.