Small Company Offering and Sale of Securities Without Registration (d)

o NoneEntity Type

0001163668

SOUTH PLAINS FINANCIAL INC

x Corporation

o Limited Partnership

o Limited Liability Company

o General Partnership

o Business Trust

o Other

Name of Issuer

SOUTH PLAINS FINANCIAL, INC.

Jurisdiction of Incorporation/OrganizationTEXAS

Year of Incorporation/Organization
	x	Over Five Years Ago
	o	Within Last Five Years (Specify Year)
	o	Yet to Be Formed

2. Principal Place of Business and Contact Information
Name of Issuer
SOUTH PLAINS FINANCIAL, INC.

Street Address 1		Street Address 2
5219 CITY BANK PARKWAY

City	State/Province/Country	ZIP/Postal Code	Phone No. of Issuer
LUBBOCK	TEXAS	79407-3544	806-792-7101

3. Related Persons

Last Name	First Name	Middle Name
Griffith	Curtis	C.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)
	Chairman of the Board and CEO

Last Name	First Name	Middle Name
Newsom	Cory	T.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)
	Director and President

Last Name	First Name	Middle Name
Newsom	Mikella	D.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)
	Chief Risk Officer and Secretary

Last Name	First Name	Middle Name
Crockett	Steven	B.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)
	Chief Financial Officer and Treasurer

Last Name	First Name	Middle Name
Campbell	Richard	D.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name	First Name	Middle Name
Keith	Cynthia	B.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name	First Name	Middle Name
Navitskas	Allison	S.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name	First Name	Middle Name
Wargo	Kyle	R.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name	First Name	Middle Name
Valles	Noe	G.

Street Address 1	Street Address 2
5219 City Bank Parkway

City	State/Province/Country	ZIP/Postal Code
Lubbock	TEXAS	79407-3544

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

4. Industry Group

o	Agriculture			Health Care		o	Retailing
	Banking & Financial Services			o	Biotechnology	o	Restaurants
	o	Commercial Banking		o	Health Insurance		Technology
	o	Insurance		o	Hospitals & Physicians		o	Computers
	o	Investing		o	Pharmaceuticals		o	Telecommunications
	o	Investment Banking		o	Other Health Care		o	Other Technology
	o	Pooled Investment Fund					Travel
	x	Other Banking & Financial Services	o	Manufacturing			o	Airlines & Airports
				Real Estate			o	Lodging & Conventions
				o	Commercial		o	Tourism & Travel Services
				o	Construction		o	Other Travel
				o	REITS & Finance	o	Other
				o	Residential
				o	Other Real Estate
o	Business Services
	Energy
	o	Coal Mining
	o	Electric Utilities
	o	Energy Conservation
	o	Environmental Services
	o	Oil & Gas
	o	Other Energy

5. Issuer Size

Revenue Range		Aggregate Net Asset Value Range
o	No Revenues	o	No Aggregate Net Asset Value
o	$1 - $1,000,000	o	$1 - $5,000,000
o	$1,000,001 - $5,000,000	o	$5,000,001 - $25,000,000
o	$5,000,001 - $25,000,000	o	$25,000,001 - $50,000,000
o	$25,000,001 - $100,000,000	o	$50,000,001 - $100,000,000
o	Over $100,000,000	o	Over $100,000,000
x	Decline to Disclose	o	Decline to Disclose
o	Not Applicable	o	Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

o	Rule 504(b)(1) (not (i), (ii) or (iii))	o	Rule 505
o	Rule 504 (b)(1)(i)	x	Rule 506(b)
o	Rule 504 (b)(1)(ii)	o	Rule 506(c)
o	Rule 504 (b)(1)(iii)	o	Securities Act Section 4(a)(5)
		o	Investment Company Act Section 3(c)

7. Type of Filing

New Notice

Date of First Sale

2020-09-29

First Sale Yet to Occur

Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?

Yes

9. Type(s) of Securities Offered (select all that apply)

o	Pooled Investment Fund Interests	o	Equity
o	Tenant-in-Common Securities	x	Debt
o	Mineral Property Securities	o	Option, Warrant or Other Right to Acquire Another Security
o	Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security	o	Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?	o	Yes	x	No

Clarification of Response (if Necessary)

11. Minimum Investment

Minimum investment accepted from any outside investor

$ 100000 USD

12. Sales Compensation

Recipient			Recipient CRD Number	x	None
N/A
(Associated) Broker or Dealer	o	None	(Associated) Broker or Dealer CRD Number	o	None
Piper Sandler & Co.			665
Street Address 1			Street Address 2
800 Nicolett Mall

City	State/Province/Country	ZIP/Postal Code
Minneapolis	MINNESOTA	55402-7020

State(s) of Solicitation	o	All States	o	Foreign/Non-US
CALIFORNIA FLORIDA IOWA KANSAS LOUISIANA MINNESOTA MISSISSIPPI MISSOURI OHIO PENNSYLVANIA TEXAS VIRGINIA

13. Offering and Sales Amounts

Total Offering Amount	$ 50000000 USD	o Indefinite
Total Amount Sold	$ 50000000 USD
Total Remaining to be Sold	$ 0 USD	o Indefinite

Clarification of Response (if Necessary)

14. Investors

o	Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, Number of such non-accredited investors who already have invested in the offering
	Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:	20

15. Sales Commissions & Finders’ Fees Expenses

Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions	$ 750000 USD	o	Estimate
Finders' Fees	$ 0 USD	o	Estimate

Clarification of Response (if Necessary)

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$ 0 USD

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