-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JjJSYOwro1Jd7kDoWVT0Oxb6vkWipiilUBTB5d/hFzscBtIYR/b+U2iEEGjD7BeE 0zz8/cBO5KmS5sFj8nMpjQ== 0000950130-97-004456.txt : 19971014 0000950130-97-004456.hdr.sgml : 19971014 ACCESSION NUMBER: 0000950130-97-004456 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19971010 SROS: NASD GROUP MEMBERS: GOLDMAN SACHS GROUP LP GROUP MEMBERS: GOLDMAN, SACHS & CO. SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-46723 FILM NUMBER: 97694248 BUSINESS ADDRESS: STREET 1: 1300 POST OAK BLVD SUITE 1500 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7135567400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP LP CENTRAL INDEX KEY: 0000904571 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133501777 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Carriage Services, Inc. ---------------------------------- (Name of Issuer) Class A Common Stock, $.01 par value ---------------------------------- (Title of Class of Securities) 143905107 ---------------------------------- (CUSIP Number) Page 1 of 10 Pages - -------------------- CUSIP NO. 143905107 - -------------------- - ------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Goldman, Sachs & Co. - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a)________ (b)________ - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or place of Organization New York - -------------------------------------------------------------- Number of 5. Sole Voting Power Shares Beneficially 0 ----------------------------------------- Owned By 6. Shared Voting Power Each Reporting 393,700 ----------------------------------------- Person With 7. Sole Dispositive Power 0 ----------------------------------------- 8. Shared Dispositive Power 558,500 ----------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 558,500 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person BD-PN-IA - -------------------------------------------------------------------------------- Page 2 of 10 Pages - ------------------ CUSIP NO. 143905107 - ------------------ - ------------------------------------------------------------------------------- 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person The Goldman Sachs Group, L.P. - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) ________ (b) ________ - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Citizenship or place of Organization Delaware - -------------------------------------------------------------- Number of 5. Sole Voting Power Shares Beneficially 0 ----------------------------------------- Owned By 6. Shared Voting Power Each Reporting 393,700 ----------------------------------------- Person With 7. Sole Dispositive Power 0 ----------------------------------------- 8. Shared Dispositive Power 558,500 ----------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 558,500 - ------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares - ------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.5% - ------------------------------------------------------------------------- 12. Type of Reporting Person HC-PN - ------------------------------------------------------------------------- Page 3 of 10 Pages Item 1(a). Name of Issuer: Carriage Services, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 1300 Post Oak Blvd., Suite 1500 Houston, TX 77056 Item 2(a). Name of Persons Filing: Goldman, Sachs & Co. and The Goldman Sachs Group, L.P. Item 2(b). Address of Principal Business Office or, if None, Residence: 85 Broad Street New York, NY 10004 Item 2(c). Citizenship: Goldman, Sachs & Co. - New York The Goldman Sachs Group, L.P. - Delaware Item 2(d). Title and Class of Securities: Class A Common Stock, $.01 par value Item 2(e). CUSIP Number: 143905107 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d- 2(b), check whether the person filing is a : (a).X Broker or dealer registered under Section 15 of the Act, Goldman, Sachs & Co. (b). Bank as defined in Section 3(a)(6) of the Act, (c). Insurance Company as defined in Section 3(a)(19) of the Act, (d). Investment Company registered under Section 8 of the Investment Company Act, (e).X Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, Goldman, Sachs & Co. (f). Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d-1(b)(1)(ii)(F), Page 4 of 10 Pages (g).X Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, The Goldman Sachs Group, L.P. (h). Group, in accordance with Rule 13d-1(b)(ii)(H). Item 4. Ownership. (a). Amount beneficially owned: See the response(s) to Item 9 on the attached cover page(s). (b). Percent of Class: See the response(s) to Item 11 on the attached cover page(s). (c). Number of shares as to which such person has: (i). Sole power to vote or to direct the vote: See the response(s) to Item 5 on the attached cover page(s). (ii). Shared power to vote or to direct the vote: See the response(s) to Item 6 on the attached cover page(s). (iii). Sole power to dispose or to direct the disposition of: See the response(s) to Item 7 on the attached cover page(s). (iv). Shared power to dispose or to direct the disposition of: See the response(s) to Item 8 on the attached cover page(s). Item 5. Ownership of Five Percent or Less of a Class. Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. See Exhibit (99.2) Item 8. Identification and Classification of Members of the Group. Not Applicable Item 9. Notice of Dissolution of Group. Not Applicable Page 5 of 10 Pages Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Page 6 of 10 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: October 10, 1997 THE GOLDMAN SACHS GROUP, L.P. By: /s/ Hans L. Reich ----------------------------- Name: Hans L. Reich Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: /s/ Hans L. Reich ----------------------------- Name: Hans L. Reich Title: Attorney-in-fact Page 7 of 10 Pages INDEX TO EXHIBITS Exhibit No. Exhibit - ----------- ------- 99.1 Joint Filing Agreement, dated October 10, 1997, between The Goldman Sachs Group, L.P. and Goldman, Sachs & Co. 99.2 Item 7 Information Page 8 of 10 Pages EX-99.1 2 JOINT FILING AGREEMENT EXHIBIT (99.1) JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the shares of Class A Common Stock, $.01 par value of Carriage Services, Inc., and further agree to the filing of this agreement as an Exhibit thereto. In addition, each party to this Agreement expressly authorizes each other party to this Agreement to file on its behalf any and all amendments to such Statement on Schedule 13G. Date: October 10, 1997 THE GOLDMAN SACHS GROUP, L.P. By: /s/ Hans L. Reich ------------------------------ Name: Hans L. Reich Title: Attorney-in-fact GOLDMAN, SACHS & CO. By: /s/ Hans L. Reich ------------------------------ Name: Hans L. Reich Title: Attorney-in-fact Page 9 of 10 Pages EX-99.2 3 ITEM 7 INFORMATION EXHIBIT (99.2) ITEM 7 INFORMATION Goldman, Sachs & Co. is a broker or dealer registered under Section 15 of the Act and an investment adviser registered under Section 203 of the Investment Advisers Act of 1940. Page 10 of 10 Pages -----END PRIVACY-ENHANCED MESSAGE-----