0001775195-20-000001.txt : 20200221 0001775195-20-000001.hdr.sgml : 20200221 20200221141433 ACCESSION NUMBER: 0001775195-20-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200221 DATE AS OF CHANGE: 20200221 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: 20638919 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 2019-12-31 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 2019-12-31 4 M 0 9000 9.49 A 2383790 D Common Stock 2019-12-31 4 F 0 5269 21 D 2378521 D Common Stock 93793 I By ESOP Stock Options (right to buy) 9.49 2019-12-31 4 M 0 9000 0 D 2019-12-31 Common Stock 9000 0 D Stock Options (right to buy) 20.93 2020-02-19 4 A 0 22411 0 A 2030-02-19 Common Stock 22411 22411 D Shares held by the ESOP and allocated to the Reporting Person's account. These were fully exercisable on date of grant. 25% of the stock options vest on the first anniversary of January 1, 2020; thereafter, the remaining vest pro rata on a monthly 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. The exercise of the stock options on 12/31/2019 and the related transactions are being reported late due to administrative error. /s/ By Mikella D. Newsom as Attorney-in-Fact for Curtis C Griffith 2020-02-21