Griffith Curtis C's Form 4/A amendment
AmendedSouth Plains Financial, Inc. (SPFI) · filed Jun 17, 2024
- Accession no.
- 0001775195-24-000012
- Filed
- Jun 17, 2024
- Trade date
- Jun 13, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jun 17, 2024
This filing lists 2 non-derivative transactions. Open-market sales total $204.5K. It was filed 4 days after the trade.
This amendment replaces 0001775195-24-000011 (filed Jun 17, 2024).
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.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2024 | Common Stock | SSaleDisposed | −3,000 | $26.54 | −$79,620 | 1,060,797 | Direct | |
| Jun 13, 2024 | Common Stock | SSaleDisposed | −4,830 | $25.86 | −$124,903.8 | 1,055,967 | Direct |
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 sold the securities as a block sale broker transaction.
- F2
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.
- F3
The Reporting Person executed a trade order through a broker-dealer which resulted in multiple same day, same way open market sales, with prices ranging from $25.80 to $26.00 per share. The Reporting Person has reported these sales 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 sold at each separate price.
- F4
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.
- F5
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.
- F6
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.
- F7
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.
- F8
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.
- F9
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.
- F10
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
The purpose of this amendment is solely to correct a typographical error relating to the "Date of Earliest Transaction" disclosed in Box 3 of the Reporting Person's Form 4 filed on June 17, 2024, which incorrectly stated a "Date of Earliest Transaction" of 06/14/2023. This corrected Form 4 reflects the correct "Date of Earliest Transaction" of 06/14/2024 in Box 3.