SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Bass Kevin R

(Last) (First) (Middle)
5219 CITY BANK PARKWAY

(Street)
LUBBOCK TX 79407-3544

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/08/2019
3. Issuer Name and Ticker or Trading Symbol
SOUTH PLAINS FINANCIAL, INC. [ SPFI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Credit Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
05/09/2019
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 24,900 D
Common Stock 42,582 I By ESOP(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (right to buy) (2) 12/31/2019 Common Stock 3,000 9.49 D
Stock Options (right to buy) (2) 12/31/2020 Common Stock 3,000 10.03 D
Stock Options (right to buy) (2) 12/31/2021 Common Stock 6,000 11.03 D
Stock Options (right to buy) (2) 12/31/2022 Common Stock 6,000 12.03 D
Stock Options (right to buy) (2) 12/31/2023 Common Stock 6,000 10.33 D
Stock Options (right to buy) (2) 12/31/2024 Common Stock 6,000 5.88 D
Stock Options (right to buy) (2) 12/31/2025 Common Stock 6,000 8.6 D
Stock Options (right to buy) (2) 12/31/2026 Common Stock 7,500 10.93 D
Stock Options (right to buy) (2) 12/31/2027 Common Stock 7,500 12.24 D
Stock Options (right to buy) (2) 12/31/2028 Common Stock 7,500 13.88 D
Stock Options (right to buy) (2) 12/31/2028 Common Stock 7,500 16.93 D
Stock Options (right to buy) (2) 12/31/2028 Common Stock 7,500 19.05 D
Explanation of Responses:
1. Shares held by the ESOP and allocated to Mr. Bass's account.
2. These stock options are fully exercisable.
Remarks:
This amended and restated report on Form 3/A is being filed to correct the transaction date originally reported as May 9, 2019 to May 8, 2019, the effective date of the Issuer's Registration Statement on Form S-1 (the "Effective Date").
/s/ By Mikella D. Newsom as Attorney-in-Fact for Kevin R. Bass 05/15/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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