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Filing Details

Accession Number:: 0001016281-17-000037
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-03-23 17:13:47
Reporting Period:: 2017-03-21

Filing Date:: 2017-03-23
Accepted Time:: 2017-03-23 17:13:47
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1016281	Carriage Services Inc	CSV	Services-Personal Services (7200)	760423828

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1427418	R Shawn Phillips	13722 Cahill Ct. Cypress TX 77429		No	No	No	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2017-03-21	5,630	$26.67	63,975	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Options	$26.54	2027-03-21	38,600	38,600	Direct
Common Stock	Performance Award	$0.00	2021-12-31	8,770	8,770	Direct
Common Stock	Stock Options	$20.06	2026-02-23	16,700	16,700	Direct
Common Stock	Performance Award	$0.00	2020-12-31	5,200	5,200	Direct
Common Stock	Stock Options	$22.58	2022-02-24	35,000	35,000	Direct
Common Stock	Stock Options	$20.26	2019-02-25	30,000	30,000	Direct
Common Stock	Stock Options	$16.73	2018-05-22	25,000	25,000	Direct
Common Stock	Stock Options	$5.94	2022-03-05	22,674	22,674	Direct
Common Stock	Stock Options	$5.70	2021-02-28	17,913	17,913	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2027-03-21	38,600	38,600	Direct
2021-12-31	8,770	8,770	Direct
2026-02-23	16,700	16,700	Direct
2020-12-31	5,200	5,200	Direct
2022-02-24	35,000	35,000	Direct
2019-02-25	30,000	30,000	Direct
2018-05-22	25,000	25,000	Direct
2022-03-05	22,674	22,674	Direct
2021-02-28	17,913	17,913	Direct

Footnotes

Stock Options granted pursuant to the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan which will vest 1/5 each year on 3/21/2018, 3/21/2019, 3/21/2020, 3/21/2021 and 3/21/2022. These stock options expire on 3/21/2027.
Represents performance-based awards, payable in shares, granted under the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan. The award will vest (if at all) on December 31, 2021 provided that certain criteria surrounding Adjusted Consolidated EBITDA (Adjusted Earnings Before Interest Tax Depreciation and Amortization) and Adjusted Consolidated EBITDA Margin performance is achieved and the Reporting Person has remained continuously employed by Carriage through such date. The Adjusted Consolidated EBITDA performance represents 50% of the award and the Adjusted Consolidated EBITDA Margin performance represents 50% of the award.
Stock 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, and will vest 1/5 on 2/23/2018, 2/23/2019, 2/23/2020 and 2/23/2021. These stock options expire on 2/23/2026.
Represents performance-based awards, payable in shares, granted under the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan. The award will vest (if at all) on December 31, 2020 provided that certain criteria surrounding Adjusted Consolidated EBITDA (Adjusted Earnings Before Interest Tax Depreciation and Amortization) and Relative Shareholder Return performance is achieved and the Reporting Person has remained continuously employed by Carriage through such date. The Relative Shareholder Return performance represents 75% of the award and the Adjusted Consolidated EBITDA performance represents 25% of the award.
Stock 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 will vest on 2/24/2018. These stock options expire on 02/24/2022.
Stock Option grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan which vested 1/3 on 2/25/2015, 1/3 on 2/25/2016 and 1/3 on 2/25/2017. These stock options expire on 02/25/2019.
Stock Options grant pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan which vested 1/3 on 05/22/2014, 1/3 on 05/22/2015 and 1/3 on 05/22/2016. These stock options expire on 05/22/2018.
Stock 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.
Stock 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.