FORM 5

 

  X  Check box if no longer
subject to Section 16.
Form 4 or Form 5 obligations may continue. See Instruction 1(b).

    Form 3 Holdings Reported

  X  Form 4 Transactions Reported

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549


ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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 1. Name and Address of Reporting Person

Livengood,    Thomas    C.

(Last)            (First)              (Middle)



5405 Huckleberry Lane

(Street)



Houston, Texas   77056-2715

(City)       (State)          (Zip)

 2. Issuer Name and Ticker
    or Trading Symbol

Carriage Services, Inc.   CSV




 3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)




 4. Statement for Month/Year

February  2003


 



 5. If Amendment, Date of
    Original (Month/Year)

  / 


 6. Relationship of Reporting Person(s) to Issuer
    (Check all applicable)

     Director

     Officer
(give title below)

     10% Owner

  X   Other
(specify below)


       Former Chief Financial Officer  


 7. Individual or Joint/Group Reporting
    (check applicable line)

 

  X  Form Filed by One Reporting Person

    Form Filed by More than One Reporting Person

 

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

 

1. Title of
    Security
    (Instr. 3)

2. Transaction     Date
    (Month/Day/
    Year)

2A. Deemed
      Execution Date,
      if any
      (Month/Day/Year)

3. Transaction
    Code
    (Instr. 8)

4. Securities Acquired (A)
    or Disposed of (D)
    (Instr. 3, 4, and 5)

5. Amount of
    Securities
    Beneficially
    Owned at the
    end of Issuer's     Fiscal Year
    (Instr. 3 and 4)

6. Owner-
    ship
    Form:
    Direct(D)
    or
    Indirect (I)
    (Instr. 4)

7.  Nature of
     Indirect
     Beneficial
     Ownership
     (Instr. 4)

Amount

(A) or (D)

Price

Common Stock

9/24/02

 

J

59,869

D

$3.09

1,286

D

 

Common Stock

9/24/02

 

M

112,500

A

$1.5625

113,786

D

 

Common Stock

10/31/2002

 

S

4,000

D

$3.38

109,786

D

 

Common Stock

10/31/2002

 

S

3,000

D

$3.32

106,786

D

 

Common Stock

11/04/2002

 

S

1,500

D

$3.39

105,286

D

 

Common Stock

11/06/2002

 

S

1,000

D

$3.39

104,286

D

 

Common Stock

11/07/2002

 

S

1,500

D

$3.34

102,786

D

 

Common Stock

11/07/2002

 

S

1,000

D

$3.41

101,786

D

 

Common Stock

11/07/2002

 

S

2,000

D

$3.41

99,786

D

 

Common Stock

11/08/2002

 

S

1,200

D

$3.41

98,586

D

 

Common Stock

11/08/2002

 

S

2,500

D

$3.41

96,086

D

 

Common Stock

11/08/2002

 

S

300

D

$3.43

95,786

D

 

Common Stock

11/11/2002

 

S

5,200

D

$3.43

90,586

D

 

Common Stock

11/11/2002

 

S

3,000

D

$3.49

87,586

D

 

Common Stock

11/11/2002

 

S

5,000

D

$3.55

82,586

D

 

Common Stock

11/12/2002

 

S

4,000

D

$3.68

78,586

D

 

Common Stock

11/12/2002

 

S

1,000

D

$3.70

77,586

D

 

Common Stock

11/15/2002

 

S

200

D

$3.88

77,386

D

 

Common Stock

11/18/2002

 

S

3,000

D

$3.80

74,386

D

 

Common Stock

11/19/2002

 

S

1,800

D

$3.88

72,586

D

 

Common Stock

11/19/2002

 

S

2,500

D

$3.81

70,086

D

 

Common Stock

11/19/2002

 

S

3,000

D

$3.92

67,086

D

 

Common Stock

11/22/2002

 

S

3,000

D

$4.00

64,086

D

 

Common Stock

11/26/2002

 

S

5,000

D

$4.10

59,086

D

 

Common Stock

11/26/2002

 

S

3,500

D

$4.15

55,586

D

 

Common Stock

11/27/2002

 

S

4,000

D

$4.35

51,586

D

 

Common Stock

11/27/2002

 

S

1,500

D

$4.49

50,086

D

 

Common Stock

12/03/2002

 

S

3,500

D

$4.60

46,586

D

 

 

* If the form is filed by more than one reporting person, see instruction 4(b)(v).


 

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

 

1. Title of Derivative Security
(Instr. 3)

2. Conver sion or Exercise Price of Derivative Security

3. Transaction Date
(Month/
Day/Year)

3A. Deemed Execution Date, if any (Month/
Day/Year)

4. Transaction Code
(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 

6. Date Exercisable and Expiration Date
(Month/Day/Year)

7. Title and Amount of Underlying Securities
(Instr. 3 and 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of Derivative Securities Beneficially Owned at End of Year
(Instr. 4)

10.Ownership of Derivative Security:
Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

(A)

(D)

Date
Exercisable

Expiration
Date

Title

Amount or Number of Shares

Stock Options

$1.5625

9/24/2002

     

X

     

112,500

12/31/01

12/22/10

Common Stock

112,500

     

0

D

     

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Explanation of Responses:

J = Disposition of shares to Carriage Services Inc. at market value in conjunction with the exercise of stock options

 

 

 

 

/s/ Thomas C. Livengood

 

02/10/2003

** Signature of Reporting Person

 

Date

 

**             Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
             See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

 

Note:    File three copies of this Form, one of which must be manually signed.
             If space provided is insufficient, see Instruction 6 for procedure.

 

http://www.sec.gov/divisions/corpfin/forms/form5.htm

Last update: 09/03/2002