Griffith Curtis C 的 Form 4/A 修正申報
修正South Plains Financial, Inc.（SPFI），2023/6/15 申報
- 申報編號
- 0001775195-23-000003
- 申報時間
- 2023/6/15
- 交易日
- 2023/6/13-6/14
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2023/6/15
這份申報列了 2 筆非衍生性交易。公開市場買進合計 $7.21 萬。交易後 2 天申報。
這份修正申報取代了 0001775195-23-000002（2023/6/15 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Griffith Curtis CCIK 0001775195 | 董事、高階主管（董事長、執行長）、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
備註
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.