0001016281-20-000075.txt : 20200325 0001016281-20-000075.hdr.sgml : 20200325 20200325172847 ACCESSION NUMBER: 0001016281-20-000075 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200317 FILED AS OF DATE: 20200325 DATE AS OF CHANGE: 20200325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schappaugh Peggy CENTRAL INDEX KEY: 0001806645 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11961 FILM NUMBER: 20743301 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 3/A 1 wf-form3a_158517170336087.xml FORM 3/A X0206 3/A 2020-03-17 2020-03-17 0 0001016281 CARRIAGE SERVICES INC CSV 0001806645 Schappaugh Peggy 3040 POST OAK STE. 300 HOUSTON TX 77056 0 1 0 0 VP of Operations & Acquistions Common Stock 17283 D Performance Award 2024-12-31 Common Stock 9000.0 D Performance Award 2023-12-31 Common Stock 7000.0 D Stock Options 26.54 2027-03-21 Common Stock 3700.0 D Stock Options 20.06 2026-02-23 Common Stock 1800.0 D The reporting person beneficially owned an additional 636 shares of common stock as of the date she became a Section 16 reporting person, which shares were inadvertently omitted from the reporting person's original Form 3 filing. Accordingly, this Form 3 Amendment is being filed to correctly state the number of shares of common stock beneficially owned by the reported person as of the date she became a Section 16 reporting person. 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) during 2024 provided that certain criteria surrounding share price performance is achieved and the Reporting Person has remained continuously employed by Carriage through such date. Represents performance awards, payable in shares on December 31, 2023 granted under the Carriage Services, Inc. 2017 Omnibus Incentive Plan. The award will vest (if at all) during December 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. Second Amended and Restated 2006 Long-Term Incentive Plan which vested 1/5 each year 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. Stock Options granted pursuant to the Carriage Services, Inc. Second Amended and Restated 2006 Long-Term Incentive Plan which vested 1/5 each year on 2/23/2017, 2/23/2018, 2/23/2019 and 2/23/2020 and 1/5 will vest on 2/23/2021. These stock options expire on 2/23/2026. /s/ Peggy Schappaugh 2020-03-25