0001016281-19-000094.txt : 20190911 0001016281-19-000094.hdr.sgml : 20190911 20190911183716 ACCESSION NUMBER: 0001016281-19-000094 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190911 FILED AS OF DATE: 20190911 DATE AS OF CHANGE: 20190911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PAYNE MELVIN C CENTRAL INDEX KEY: 0001024177 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11961 FILM NUMBER: 191089223 MAIL ADDRESS: STREET 1: 3040 POST OAK BLVD STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77056 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARRIAGE SERVICES INC CENTRAL INDEX KEY: 0001016281 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PERSONAL SERVICES [7200] IRS NUMBER: 760423828 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3040 POST OAK BOULEVARD STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 713-332-8400 MAIL ADDRESS: STREET 1: 3040 POST OAK BOULEVARD STREET 2: SUITE 300 CITY: HOUSTON STATE: TX ZIP: 77056 4 1 wf-form4_156824141876927.xml FORM 4 X0306 4 2019-09-11 0 0001016281 CARRIAGE SERVICES INC CSV 0001024177 PAYNE MELVIN C 3040 POST OAK BLVD SUITE 300 HOUSTON TX 77056 1 1 0 0 CEO Common Stock 2019-09-11 4 G 0 30000 22.54 D 1277804 D Common Stock 11446 I Melvin C. Payne, Jr. 2016 Annuity Trust Common Stock 11446 I Karen P. Payne 2016 Annuity Trust Common Stock 17072 I Spouse Performance Award 2023-12-31 Common Stock 100000.0 100000 D Stock Options 25.43 2028-02-14 Common Stock 50000.0 50000 D Stock Options 26.54 2027-03-21 Common Stock 116100.0 116100 D Stock Options 20.06 2026-02-23 Common Stock 58500.0 58500 D Stock Options 22.58 2022-02-24 Common Stock 100000.0 100000 D Stock Options 5.7 2021-02-28 Common Stock 3284.0 3284 D Represents performance awards, payable in shares, granted under the Carriage Services, Inc. 2017 Omnibus Incentive Plan. The award will vest (if at all) on December 31, 2023 provided that certain criteria surrounding share price performance is achieved and the Reporting Person has remained continuously employed by Carriage through such date. Stock Options granted pursuant to the Carriage Services, Inc. 2017 Omnibus Plan which 1/5 vested on 2/14/2019 and 1/5 will vest on 2/14/2020, 2/14/2021, 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 vested on 3/21/2019 and 1/5 will vest each year on 3/21/2020, 3/21/2021 and 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 1/5 vested on 2/23/2017, 1/5 on 2/23/2018, 1/5 vested on 2/23/2019 and 1/5 will vest on 2/23/2020 and 2/23/2021. These stock options expire on 2/23/2026. Stock Options granted pursuant to the Carriage Services, Inc. Second 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 2/24/2022. Stock Options granted pursuant to the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan of 44,702 options granted on 02/28/2011, of which 14,900 options vested on 02/28/2012 and 3,283 were exercised on 12/20/2012, 14,901 options vested on 02/28/2013 and 14,000 were exercised on 11/06/2015 and 24,135 options were exercised on 03/29/2016. These stock options expire on 02/28/2021. /s/ Melvin C. Payne 2019-09-11