Notice of Proposed Sale · 144
South Plains Financial, Inc.
SPFINASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- SOUTH PLAINS FINANCIAL, INC.
- Issuer CIK
- 0001163668
- SEC file number
- 001-38895
- Phone
- 806-792-7101
- Person for whose account securities are to be sold
- Stein James D.
- Relationships to issuer
- Officer
- Street
- 5219 CITY BANK PARKWAY
- City
- LUBBOCK
- State / country code
- TX
- Postal code
- 79407-3544
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 30,000 | 1,335,000.00 | 19,145,754 | 07/28/2026 | Nasdaq | Edward Jones |
Broker / market maker — proposed row 1, entry 1
- Name
- Edward Jones
- Street
- 201 Progress Parkway
- City
- Maryland Heights
- State / country code
- MO
- Postal code
- 63043
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 04/01/2026 | Merger | South Plains Financial Inc | 378,872 | N | 04/01/2026 | Merger |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| James Stein | Common | 05/08/2026 | 10,000 | 403,777.98 |
| James Stein | Common | 05/11/2026 | 4,936 | 197,733.76 |
| James Stein | Common | 05/18/2026 | 13,504 | 540,268.89 |
| James Stein | Common | 05/19/2026 | 1,560 | 62,509.55 |
Seller — prior-sale row 1, entry 1
- Name
- James Stein
- Street
- 102 LABRADOR LN
- City
- Columbus
- State / country code
- TX
- Postal code
- 78934
Seller — prior-sale row 2, entry 1
- Name
- James Stein
- Street
- 102 LABRADOR LN
- City
- Columbus
- State / country code
- TX
- Postal code
- 78934
Seller — prior-sale row 3, entry 1
- Name
- James Stein
- Street
- 102 LABRADOR LN
- City
- Colubus
- State / country code
- TX
- Postal code
- 78934
Seller — prior-sale row 4, entry 1
- Name
- James Stein
- Street
- 102 LABRADOR LN
- City
- Columbus
- State / country code
- TX
- Postal code
- 78934
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Notice signature
- Notice date
- 07/28/2026
- Signed
- Annie Mechlin
Company context
South Plains is the bank holding company for City Bank, a Texas state-chartered bank headquartered in Lubbock, Texas. City Bank is one of the largest independent banks in West Texas and has additional banking operations in the Dallas, El Paso, Greater Houston, the Permian Basin, and College Station, Texas markets, and the Ruidoso, New Mexico market. South Plains provides a wide range of commercial and consumer financial services to small and medium-sized businesses and individuals in its market areas. Its principal business activities include commercial and retail banking, along with investment, trust and mortgage services. Please visit https://www.spfi.bank for more information.