0001163668-22-000007.txt : 20220121 0001163668-22-000007.hdr.sgml : 20220121 20220121143712 ACCESSION NUMBER: 0001163668-22-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220119 FILED AS OF DATE: 20220121 DATE AS OF CHANGE: 20220121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Griffith Curtis C CENTRAL INDEX KEY: 0001775195 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38895 FILM NUMBER: 22545610 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 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2022-01-19 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 Common Stock 2022-01-19 4 A 0 4243 0 A 1527593 D Common Stock 99762 I By ESOP Common Stock 151 I By 401(k) 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 Stock Options (Right to Buy) 29.46 2022-01-19 4 A 0 13340 0 A 2032-01-19 Common Stock 13340 13340 D Includes 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. Shares held by the South Plains Financial, Inc. Employee Stock Ownership Plan ("ESOP") and allocated to the Reporting Person's account. Shares held in the Reporting Person's account under the City Bank 401(k) Plan. 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. 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. 25% of the stock options vest on the first anniversary of January 1, 2022; thereafter, the remaining vest pro rata on a month basis over the next 36 months. Notwithstanding the foregoing, the stock options will automatically become fully vested upon the earlier of: (i) the Reporting Person's disability, (ii) the Reporting Person's death, and (iii) immediately prior to a change in control of the Issuer. /s/ By Mikella D. Newsom as Attorney-in-Fact for Curtis C. Griffith 2022-01-21