0001016281-22-000048.txt : 20220309 0001016281-22-000048.hdr.sgml : 20220309 20220309180008 ACCESSION NUMBER: 0001016281-22-000048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220307 FILED AS OF DATE: 20220309 DATE AS OF CHANGE: 20220309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Phillips Shawn R CENTRAL INDEX KEY: 0001427418 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11961 FILM NUMBER: 22726633 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_164686679293672.xml FORM 4 X0306 4 2022-03-07 0 0001016281 CARRIAGE SERVICES INC CSV 0001427418 Phillips Shawn R 3040 POST OAK BLVD. SUITE 300 HOUSTON TX 77056 0 0 0 1 Senior Vice President Common Stock 2022-03-07 4 M 0 4000 20.06 A 105789 D Common Stock 2022-03-07 4 F 0 2760 51.16 D 103029 D Common Stock 2022-03-07 4 S 0 1201 51.16 D 101828 D Common Stock 2022-03-07 4 M 0 3000 20.06 A 104828 D Stock Options 20.06 2022-03-07 4 M 0 4000 0 D 2026-02-23 Common Stock 4000.0 12700 D Stock Options 20.06 2022-03-07 4 M 0 3000 0 D 2026-02-23 Common Stock 3000.0 9700 D Stock Options 49.48 2032-02-23 Common Stock 25000.0 25000 D Performance Award 2024-12-31 Common Stock 32778.0 32778 D Stock Options 34.79 2031-02-17 Common Stock 50000.0 50000 D Stock Options 25.43 2028-02-14 Common Stock 16610.0 16610 D Stock Options 26.54 2027-03-21 Common Stock 38600.0 38600 D Represents shares withheld on 3/7/2022 to cover the option price and taxes associated with the exercise of stock options. 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, 2/23/2020 and 2/23/2021. 7,000 options were exercised on 3/7/2022. These stock options expire on 2/23/2026. Stock Options granted on 2/23/2022 pursuant to the Carriage Services, Inc. 2017 Omnibus Incentive Plan that will vest in equal increments each year over the next seven years. These options expire on 2/23/2032. 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. Stock Options granted on 2/17/2021 pursuant to the Carriage Services, Inc. 2017 Omnibus Incentive Plan which vested 20% on 2/17/2022 and that will vest in equal 20% increments each year over the next four years. These options expire on 2/17/2031. Stock Options granted pursuant to the Carriage Services, Inc. 2017 Omnibus Plan which vested 1/5 on 2/14/2019, 2/14/2020, 2/14/2021, 2/14/2022 and 1/5 will vest on 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, 3/21/2019, 3/21/2020, 3/21/2021 and 1/5 will vest on 3/21/2022. These stock options expire on 3/21/2027. /s/ Shawn R. Phillips 2022-03-09