| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SPFI | Common Stock | Options Exercise | $108,270 | +9,000 | +0.63% | $12.03 | 1,436,593 | 30 Dec 2022 | Direct | F1, F2 |
| transaction | SPFI | Common Stock | Tax liability | $143,141 | -5,125 | -0.36% | $27.93 | 1,431,468 | 30 Dec 2022 | Direct | F1 |
| transaction | SPFI | Common Stock | Tax liability | $35,238 | -1,280 | -0.09% | $27.53 | 1,430,188 | 03 Jan 2023 | Direct | F1 |
| transaction | SPFI | Common Stock | Award | $124,986 | +4,540 | +0.32% | $27.53 | 1,434,728 | 03 Jan 2023 | Direct | F1 |
| holding | SPFI | Common Stock | 100,535 | 30 Dec 2022 | By ESOP | F3 | |||||
| holding | SPFI | Common Stock | 45,360 | 30 Dec 2022 | By Spouse | F4 | |||||
| holding | SPFI | Common Stock | 435,000 | 30 Dec 2022 | By CCG Trust | F5 | |||||
| holding | SPFI | Common Stock | 87,000 | 30 Dec 2022 | By RTW Trust | F6 | |||||
| holding | SPFI | Common Stock | 87,000 | 30 Dec 2022 | By BLW Trust | F7 | |||||
| holding | SPFI | Common Stock | 87,000 | 30 Dec 2022 | By WHW Trust | F8 | |||||
| holding | SPFI | Common Stock | 87,000 | 30 Dec 2022 | By SSG Trust | F9 | |||||
| holding | SPFI | Common Stock | 87,000 | 30 Dec 2022 | By JBG Trust | F10 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SPFI | Stock Options (Right to Buy) | Options Exercise | $0 | -9,000 | -100% | $0.000000* | 0 | 30 Dec 2022 | Common Stock | 9,000 | $12.03 | Direct | F11 |
| transaction | SPFI | Stock Options (Right to Buy) | Award | $0 | +13,560 | $0.000000 | 13,560 | 03 Jan 2023 | Common Stock | 13,560 | $27.53 | Direct | F12 |
| Id | Content |
|---|---|
| F1 | Includes restricted stock units that may be settled only by delivery of an equal number of shares of common stock and which are subject to vesting and forfeiture conditions. |
| F2 | Effective September 12, 2022, SPFI eliminated the SPFI stock fund as an investment alternative available under the City Bank 401(k) Plan (the "401(k) Plan"). As a result, the 250 shares of SPFI common stock the Reporting Person previously reported as beneficially owned under the 401(k) Plan were liquidated. |
| F3 | Shares held by the South Plains Financial, Inc. Employee Stock Ownership Plan ("ESOP") and allocated to the Reporting Person's account. |
| F4 | Shares owned by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
| F5 | Shares held in the Curtis C. Griffith 2021 Irrevocable Trust ("CCG Trust"), over which the Reporting Person's Spouse, who shares the Reporting Person's household, serves as trustee. The members of the Reporting Person's immediate family are the beneficiaries of this trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
| F6 | Shares held in the Richard Thomas White 2021 Trust ("RTW Trust"), over which the Reporting Person serves as trustee. A member of the Reporting Person's immediate family is the beneficiary of this trust. |
| F7 | Shares held in the Birdie Lucille White 2021 Trust ("BLW Trust"), over which the Reporting Person serves as trustee. A member of the Reporting Person's immediate family is the beneficiary of this trust. |
| F8 | Shares held in the William Hogan White 2021 Trust ("WHW Trust"), over which the Reporting Person serves as trustee. A member of the Reporting Person's immediate family is the beneficiary of this trust. |
| F9 | Shares held in the Sydney Suzanne Griffith 2021 Trust ("SSG Trust"), over which the Reporting Person serves as trustee. A member of the Reporting Person's immediate family is the beneficiary of this trust. |
| F10 | Shares held in the Johnathan Brockway Griffith 2021 Trust ("JBG Trust"), over which the Reporting Person serves as trustee. A member of the Reporting Person's immediate family is the beneficiary of this trust. |
| F11 | These were fully exercisable on date of grant. |
| F12 | 25% of the stock options vest on the first anniversary of January 1, 2023; thereafter, the remaining vest pro rata on a month basis over the next 36 months. Notwithstanding the foregoing, the stock options will automatically become fully vested upon the earlier of: (i) the Reporting Person's disability, (ii) the Reporting Person's death, and (iii) immediately prior to a change in control of the Issuer. |