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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Weaver Jeffrey 5224 W. PLANO PARKWAY PLANO, TX 75093 |
 X |  |  President and CEO |  |
/s/ Jeffrey Weaver | 02/11/2014 | |
**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) | Represents shares of common stock of SP Bancorp, Inc. ("Common Stock") allocated to the account of the reporting person pursuant to the SharePlus Federal Bank 401(k) Plan (the "401(k) Plan") as of December 31, 2013. Such amount reflects (a) allocations shares of Common Stock to the reporting person's 401(k) Plan account since the date of the reporting person's last ownership report in transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), (Continued in Footnote 2) |
(2) | (b) the disposition on December 16, 2013 of 655 shares of Common Stock held in the reporting person's 401(k) Plan account as reported herein, (c) the allocation on December 16, 2013 of 13 shares of Common Stock to the reporting person's 401(k) Plan account in a transaction not required to be reported pursuant to Section 16 of the Act and (d) the allocation on December 31, 2013 of 63 shares of Common Stock to the reporting person's 401(k) Plan account in a transaction not required to be reported pursuant to Section 16 of the Act. |
(3) | Represents shares allocated to the account of the reporting person pursuant to the SharePlus Federal Bank Employee Stock Ownership Plan. Such allocations are not required to be reported pursuant to Section 16 of the Act. |