Curtis C. Griffith - Dec 31, 2021 Form 5 Insider Report for SOUTH PLAINS FINANCIAL, INC. (SPFI)

Role
Chairman & CEO, Director, 10%+ Owner
Signature
/s/ By Mikella D. Newsom as Attorney-in-Fact for Curtis C Griffith
Stock symbol
SPFI
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/15/2022, 03:54 PM
Next filing
Jan 21, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SPFI Common Stock 1.52M Dec 31, 2021 Direct F1
holding SPFI Common Stock 99.8K Dec 31, 2021 By ESOP F2
holding SPFI Common Stock 151 Dec 31, 2021 By 401(k) F3
holding SPFI Common Stock 45.4K Dec 31, 2021 By spouse F4
holding SPFI Common Stock 435K Dec 31, 2021 By CCG Trust F5
holding SPFI Common Stock 87K Dec 31, 2021 By RTW Trust F6
holding SPFI Common Stock 87K Dec 31, 2021 By BLW Trust F7
holding SPFI Common Stock 87K Dec 31, 2021 By WHW Trust F8
holding SPFI Common Stock 87K Dec 31, 2021 By SSG Trust F9
holding SPFI Common Stock 87K Dec 31, 2021 By JBG Trust F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 Shares held by the South Plains Financial, Inc. Employee Stock Option Ownership Plan ("ESOP") and allocated to the Reporting Person's account.
F3 Shares held in the Reporting Person's account under the City Bank 401(k) Plan.
F4 This Form 5 is being filed to include shares owned directly by the Reporting Person's spouse that were unintentionally omitted from the Initial Statement of Beneficial Ownership of Securities on Form 3 filed by the Reporting Person on March 9, 2019. These shares were also unintentionally omitted from the Reporting Person's subsequent Section 16 filings. 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.