Filing Details
- Accession Number:
- 0001016281-21-000134
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-24 16:34:31
- Reporting Period:
- 2021-06-23
- Accepted Time:
- 2021-06-24 16:34:31
- 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 | 3040 Post Oak Blvd. Suite 300 Houston TX 77056 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-06-23 | 22,674 | $5.94 | 101,255 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-23 | 1,626 | $36.48 | 99,629 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-06-23 | 35,000 | $22.58 | 134,629 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-23 | 30,572 | $36.48 | 104,057 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2021-06-23 | 22,674 | $5.94 | 22,674 | $5.94 |
| Common Stock | Stock Options | Disposition | 2021-06-23 | 35,000 | $22.58 | 35,000 | $22.58 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-03-05 | No | 4 | M | Direct | |
| 0 | 2022-02-24 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | $34.79 | 2031-02-17 | 50,000 | 50,000 | Direct | |
| Common Stock | Stock Options | $25.43 | 2028-02-14 | 16,610 | 16,610 | Direct | |
| Common Stock | Stock Options | $26.54 | 2027-03-21 | 38,600 | 38,600 | Direct | |
| Common Stock | Stock Options | $20.06 | 2026-02-23 | 16,700 | 16,700 | Direct | |
| Common Stock | Performance Award | $0.00 | 2024-12-31 | 13,974 | 13,974 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2031-02-17 | 50,000 | 50,000 | Direct |
| 2028-02-14 | 16,610 | 16,610 | Direct |
| 2027-03-21 | 38,600 | 38,600 | Direct |
| 2026-02-23 | 16,700 | 16,700 | Direct |
| 2024-12-31 | 13,974 | 13,974 | Direct |
Footnotes
- 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. 22,674 options were exercised on 6/23/2021. These stock options expire on 03/05/2022.
- 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. 35,000 options were exercised on 6/23/2021. These stock options expire on 02/24/2022.
- Stock Options granted on 2/17/2021 pursuant to the Carriage Services, Inc. 2017 Omnibus Incentive Plan that will vest in equal 20% increments each year over the next five years. These options expire on 2/17/2031.
- Stock Options granted pursuant to the Carriage Services, Inc. 2017 Omnibus Plan which 1/5 vested on 2/14/2019, 1/5 vested on 2/14/2020, 1/5 vested on 2/14/2021 and 1/5 will vest on 2/14/2022 and 2/14/2023. The options expire on 2/14/2028.
- 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, 1/5 on 3/21/2019, 1/5 on 3/21/2020, 1/5 on 3/21/2021 and 1/5 will vest on 3/21/2022. These stock options expire on 3/21/2027.
- 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 vested on 2/23/2018, 1/5 vested on 2/23/2019, 1/5 vested on 2/23/2020 and 1/5 vested on 2/23/2021. These stock options expire on 2/23/2026.
- Represents performance awards, payable in shares on December 31, 2024 granted under the Carriage Services, Inc. 2017 Omnibus Incentive Plan. The award will vest (if at all) on December 31, 2024 provided that the Company's common stock reaches one of five pre-determined growth targets for a sustained period beginning on the grant date of May 19, 2020 and ending on December 31, 2024.
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