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