SEC Form 4 · accession 0001016281-15-000110
CARRIAGE SERVICES INC · CSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Benjamin Brink
Officer — Principal Financial Officer
Period of report
Aug 6, 2015
Accepted (ET)
Aug 6, 2015 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001016281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 6, 2015 | P | 1,000 | $23.00 | A | 4,799 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $22.58 | holding | — | — | — | — | Feb 24, 2022 | Common Stock | 22,000 | 22,000 | D |
| Stock OptionsF2 | $20.26 | holding | — | — | — | — | Feb 25, 2019 | Common Stock | 12,000 | 12,000 | D |
| Stock OptionsF3 | $16.73 | holding | — | — | — | — | May 22, 2018 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Stock Option Grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan of 15,000 options granted on 5/22/2013, of which 5,000 options vested on 5/22/2014 and were exercised on 3/26/2015, 5,000 vested and became exercisable on 5/22/2015 and 5,000 options that vest on 5/22/2016. The options expire on 5/22/2018.
- F2Stock Option Grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan of 18,000 options granted on 02/25/2014, of which 6,000 options vested on 2/25/2015 and were exercised on 3/26/2015, 6,000 options will vest on 2/25/2016 and 6,000 options will vest on 2/25/2017. These options expire on 02/25/2019.
- F3Stock Option grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan of 22,000 options granted on 02/24/2015 which will vest 1/3 on 02/24/2016, 1/3 on 02/24/2016 and 1/3 on 02/24/2017. These options expire on 02/24/2022.