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Filing Details

Accession Number:: 0001016281-18-000071
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-06-12 19:04:23
Reporting Period:: 2018-06-11

Accepted Time:: 2018-06-12 19:04:23
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
1456516	R Mark Bruce	3811 Carnden Lane Missouri City TX 77459	Chief Operating Officer	No	Yes	No	No

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	2018-06-11	3,500	$25.15	27,440	No	4	S	Indirect	Jointly owned with spouse

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	Jointly owned with spouse

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	15,551	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	$25.43	2028-02-14	25,000	25,000	Direct
Common Stock	Performance Award	$0.00	2022-12-31	13,300	13,300	Direct
Common Stock	Stock Options	$26.54	2027-03-21	58,100	58,100	Direct
Common Stock	Performance Award	$0.00	2021-12-31	13,190	13,190	Direct
Common Stock	Stock Options	$20.06	2026-02-23	18,500	18,500	Direct
Common Stock	Performance Award	$0.00	2020-12-31	5,800	5,800	Direct
Common Stock	Stock Options	$22.58	2022-02-24	40,000	40,000	Direct
Common Stock	Stock Options	$20.26	2019-02-25	40,000	40,000	Direct
Common Stock	Stock Options	$5.94	2022-03-05	26,289	26,289	Direct
Common Stock	Stock Options	$5.70	2021-02-28	17,913	17,913	Direct
Common Stock	Stock Options	$4.78	2020-05-18	17,530	17,530	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2028-02-14	25,000	25,000	Direct
2022-12-31	13,300	13,300	Direct
2027-03-21	58,100	58,100	Direct
2021-12-31	13,190	13,190	Direct
2026-02-23	18,500	18,500	Direct
2020-12-31	5,800	5,800	Direct
2022-02-24	40,000	40,000	Direct
2019-02-25	40,000	40,000	Direct
2022-03-05	26,289	26,289	Direct
2021-02-28	17,913	17,913	Direct
2020-05-18	17,530	17,530	Direct

Footnotes

Stock 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.
Represents performance-based awards, payable in shares, granted under the Carriage Services, Inc. 2017 Omnibus Incentive Plan. The award will vest (if at all) on December 31, 2022 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 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.
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, 1/5 on 2/23/2018 and will vest 1/5 on 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 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 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.
Stock Options granted pursuant to the Carriage Services, Inc. Amended and Restated 2006 Long-Term Incentive Plan which vested 1/3 on 05/18/2011, 1/3 on 5/18/2012 and 1/3 on 5/18/2013. These stock options expire on 5/18/2020.