0001775195-23-000003.txt : 20230615
0001775195-23-000003.hdr.sgml : 20230615
20230615164608
ACCESSION NUMBER: 0001775195-23-000003
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230613
FILED AS OF DATE: 20230615
DATE AS OF CHANGE: 20230615
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Griffith Curtis C
CENTRAL INDEX KEY: 0001775195
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38895
FILM NUMBER: 231018049
MAIL ADDRESS:
STREET 1: 5219 CITY BANK PARKWAY
CITY: LUBBOCK
STATE: TX
ZIP: 79407-3544
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SOUTH PLAINS FINANCIAL, INC.
CENTRAL INDEX KEY: 0001163668
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 000000000
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5219 CITY BANK PARKWAY
CITY: LUBBOCK
STATE: TX
ZIP: 79407-3544
BUSINESS PHONE: 806-792-7101
MAIL ADDRESS:
STREET 1: 5219 CITY BANK PARKWAY
CITY: LUBBOCK
STATE: TX
ZIP: 79407-3544
FORMER COMPANY:
FORMER CONFORMED NAME: SOUTH PLAINS FINANCIAL INC
DATE OF NAME CHANGE: 20011214
4/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0407
4/A
2023-06-13
2023-06-15
0
0001163668
SOUTH PLAINS FINANCIAL, INC.
SPFI
0001775195
Griffith Curtis C
5219 CITY BANK PARKWAY
LUBBOCK
TX
79407-3544
1
1
1
0
Chairman and CEO
0
Common Stock
2023-06-13
4
P
0
1500
23.82
A
1536763
D
Common Stock
2023-06-14
4
P
0
1500
24.24
A
1538263
D
Common Stock
45360
I
By Spouse
Common Stock
435000
I
By CCG Trust
Common Stock
87000
I
By RTW Trust
Common Stock
87000
I
By BLW Trust
Common Stock
87000
I
By WHW Trust
Common Stock
87000
I
By SSG Trust
Common Stock
87000
I
By JBG Trust
The Reporting Person executed a trade order through a broker-dealer which resulted in multiple same day, same way open market purchases, with prices ranging from $23.77to $23.83 per share. The Reporting Person has reported these purchases on an aggregate basis using the weighted average price for the transactions. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
Since the date of the Reporting Person's last report, 100,535 shares previously owned through the South Plains Financial, Inc. Employee Stock Ownership Plan were rolled over into a self-directed individual retirement account and, therefore, are now owned directly by the Reporting Person.
The shares reported include 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.
The Reporting Person executed a trade order through a broker-dealer which resulted in multiple same day, same way open market purchases, with prices ranging from $24.22to $24.25 per share. The Reporting Person has reported these purchases on an aggregate basis using the weighted average price for the transactions. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
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.
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.
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.
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.
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.
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.
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.
On June 15, 2023, the reporting person filed a Form 4 that, due to an inadvertent administrative error, listed the incorrect name of the reporting person on the signature line. This amendment is being filed solely to correct the signature to reflect Mikella D. Newson as Attorney-in-Fact for Curtis C. Griffith.
/s/ By Mikella D. Newsom as Attorney-in-Fact for Curtis C. Griffith
2023-06-15