Griffith Curtis C's Form 4/A amendment
AmendedSouth Plains Financial, Inc. (SPFI) · filed Jun 15, 2023
- Accession no.
- 0001775195-23-000003
- Filed
- Jun 15, 2023
- Trade date
- Jun 13-14, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jun 15, 2023
This filing lists 2 non-derivative transactions. Open-market purchases total $72.1K. It was filed 2 days after the trade.
This amendment replaces 0001775195-23-000002 (filed Jun 15, 2023).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Griffith Curtis CCIK 0001775195 | Director, Officer (Chairman and CEO), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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.
Referenced by the price of 1 transaction in Table I.
- F2
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.
- F3
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.
- F4
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.
Referenced by the price of 1 transaction in Table I.
- F5
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.
- F6
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.
- F7
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.
- F8
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.
- F9
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.
- F10
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.
- F11
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.
Remarks
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.