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CARRIAGE SERVICES INC — Director's Dealing 2020
May 26, 2020
32526_dirs_2020-05-26_312a77ea-ffc9-4d73-8194-dd30dcf17a2e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CARRIAGE SERVICES INC (CSV)
CIK: 0001016281
Period of Report: 2020-05-19
Reporting Person: Phillips Shawn R (Senior Vice President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-05-19 | Performance Award | $ | A | 13974 | Acquired | 2024-12-31 | Common Stock (13974.0) | Direct |
| 2020-05-19 | Performance Award | $ | D | 9000 | Disposed | 2024-12-31 | Common Stock (9000.0) | Direct |
| 2020-05-19 | Performance Award | $ | D | 10500 | Disposed | 2023-12-31 | Common Stock (10500.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 65520 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Options | $25.43 | 2028-02-14 | Common Stock (16610.0) | 16610 | Direct |
| Stock Options | $26.54 | 2027-03-21 | Common Stock (38600.0) | 38600 | Direct |
| Stock Options | $20.06 | 2026-02-23 | Common Stock (16700.0) | 16700 | Direct |
| Stock Options | $22.58 | 2022-02-24 | Common Stock (35000.0) | 35000 | Direct |
| Stock Options | $5.94 | 2022-03-05 | Common Stock (22674.0) | 22674 | Direct |
| Stock Options | $5.7 | 2021-02-28 | Common Stock (17913.0) | 17913 | Direct |
Footnotes
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 the Carriage Services, Inc. 2017 Omnibus Plan which vested 1/5 on 2/14/2019 and 2/14/2020 and will vest 1/5 each year on 2/14/2021, 2/14/2022 and 2/14/2023. The options 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, 3/31/2019 and 3/21/2020 and will vest 1/5 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 on 2/24/2018. These stock options expire on 02/24/2022.
F8: 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.
F9: 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.