Form Type: 4

SEC EDGAR Link
Accession Number:0001016281-20-000112
Date:2020-05-19
Issuer: CARRIAGE SERVICES INC (CSV)
Original Submission Date:

Reporting Person:

ELLIOTT PAUL DONALD
3040 POST OAK BLVD.
SUITE 300 HOUSTON, TX 77056

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-05-19 0 $0.00 24,988 direct
COMMON STOCK 2020-05-19 0 $0.00 6,029 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PERFORMANCE AWARD 0.0 2020-05-19 deemed execution date A 13,974 (a) 2024-12-31 common stock 13,974 $0.00 13,974 direct
PERFORMANCE AWARD 0.0 2020-05-19 deemed execution date D 9,000 (d) 2024-12-31 common stock 9,000 $0.00 0 direct
PERFORMANCE AWARD 0.0 2020-05-19 deemed execution date D 10,500 (d) 2023-12-31 common stock 10,500 $0.00 0 direct
STOCK OPTIONS 25.43 2020-05-19 deemed execution date 0 ( ) 2028-02-14 common stock 16,610 $25.43 16,610 direct
STOCK OPTIONS 26.54 2020-05-19 deemed execution date 0 ( ) 2027-03-21 common stock 38,600 $26.54 38,600 direct
STOCK OPTIONS 20.06 2020-05-19 deemed execution date 0 ( ) 2026-02-23 common stock 17,300 $20.06 17,300 direct
STOCK OPTIONS 22.58 2020-05-19 deemed execution date 0 ( ) 2022-02-24 common stock 38,000 $22.58 38,000 direct
Footnotes
IDfootnote
f1 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.
f2 represents performance awards originally granted on february 19, 2020 and canceled by mutual agreement of the reporting person and the issuer on may 19, 2020.
f3 represents performance awards originally granted on february 20, 2019 and canceled by mutual agreement of the reporting person and the issuer on may 19, 2020.
f4 stock options granted pursuant to carriage services, inc. 2017 omnibus plan which vested 1/5 on 2/14/2019 and 2/24/2020 and 1/5 will vest each year on 2/14/2021, 2/14/2022 and 2/14/2023. the options will expire on 2/14/2028.
f5 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, 3/21/2019 and 3/21/2020 and 1/5 will vest each year on 3/21/2021 and 3/21/2022. these stock options expire on 3/21/2027.
f6 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, 2/23/2018, 2/23/2019 and 2/23/2020 and will vest 1/5 on 2/23/2021. these stock options expire on 2/23/2026.
f7 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.
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