SEC Form 4 · accession 0001016281-18-000142
CARRIAGE SERVICES INC · CSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawn R Phillips
Other
Period of report
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 5:37 pm EST
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 | holding | — | — | — | 70,446 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance AwardF1 | — | Nov 29, 2018 | D | 8,840 | D | — | Dec 31, 2022 | Common Stock | 8,840 | 0 | D |
| Performance AwardF1 | — | Nov 29, 2018 | D | 8,770 | D | — | Dec 31, 2021 | Common Stock | 8,770 | 0 | D |
| Performance AwardF1 | — | Nov 29, 2018 | D | 5,200 | D | — | Dec 31, 2020 | Common Stock | 5,200 | 0 | D |
| Stock OptionsF2 | $25.43 | holding | — | — | — | — | Feb 14, 2028 | Common Stock | 16,610 | 16,610 | D |
| Stock OptionsF3 | $26.54 | holding | — | — | — | — | Mar 21, 2027 | Common Stock | 38,600 | 38,600 | D |
| Stock OptionsF4 | $20.06 | holding | — | — | — | — | Feb 23, 2026 | Common Stock | 16,700 | 16,700 | D |
| Stock OptionsF5 | $22.58 | holding | — | — | — | — | Feb 24, 2022 | Common Stock | 35,000 | 35,000 | D |
| Stock OptionsF6 | $5.94 | holding | — | — | — | — | Mar 5, 2022 | Common Stock | 22,674 | 22,674 | D |
| Stock OptionsF7 | $5.70 | holding | — | — | — | — | Feb 28, 2021 | Common Stock | 17,913 | 17,913 | D |
Explanation of responses
- F1The Performance Award was canceled by mutual agreement of the reporting person and the Issuer. No consideration was given for the cancellation of these shares.
- F2Stock Options granted pursuant to the Carriage Services, Inc. 2017 Omnibus Plan which will vest 1/5 on 2/14/2019, 2/14/2020, 2/14/2021, 2/14/2022 and 2/14/2023. The options expire on 2/14/2028.
- F3Stock Options granted pursuant to the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan which vested 1/5 on 3/21/2018 and 1/5 will vest each year on 3/21/2019, 3/21/2020, 3/21/2021 and 3/21/2022. These stock options expire on 3/21/2027.
- F4Stock Options granted pursuant to the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan which vested 1/5 on 2/23/2017, 1/5 on 2/23/2018 and 1/5 will vest on 2/23/2019, 2/23/2020 and 2/23/2021. These stock options expire on 2/23/2026.
- F5Stock Option grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan which vested 1/3 on 2/24/2016, 1/3 on 2/24/2017 and 1/3 on 2/24/2018. These stock options expire on 02/24/2022.
- F6Stock Options grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan which vested 1/3 on 03/05/2013, 1/3 on 03/05/2014 and 1/3 on 03/05/2015. These stock options expire on 03/05/2022.
- F7Stock Options grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan which vested 1/3 on 02/28/2012, 1/3 on 02/28/2013 and 1/3 on 02/28/2014. These stock options expire on 02/28/2021.