SEC Filing - Carriage Services, Inc.

Name of Reporting Person

  Ameriprise Financial, Inc.

  S.S. or I.R.S. Identification No. of Above Person

  IRS No. 13-3180631

Check the Appropriate Box if a Member of a Group

(a) ☐ (b) ☒*

* This filing describes the reporting person’s relationship with other persons, but the reporting person does not affirm the existence of a group.

SEC Use Only

Citizenship or Place of Organization

Delaware

View:

Download DOC

Download PDF

Download XLS

SC 13G/A

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Amendment #1

Under the Securities and Exchange Act of 1934

Carriage Services Inc

(Name of Issuer)

Common Stock

(Title of Class of Securities)

143905107

(CUSIP Number)

December 31, 2021

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

This Schedule is filed pursuant to Rule 13d-1(b)

The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107

CUSIP NO. 143905107


1(a)	Name of Issuer:	Carriage Services Inc.

1(b)	Address of Issuer’s Principal	3040 Post Oak Boulevard, Suite 300
	Executive Offices:	Houston, Texas 77056

2(a)	Name of Person Filing:	(a) Ameriprise Financial, Inc. (“AFI”)
		(b) TAM UK International Holdings Limited (“TAMUKI”)
		(c) Threadneedle Asset Management Oversight Limited (“TAMOL”)
		(d) Ameriprise International Holdings GmbH (“AIHG”)
		(e) Threadneedle Asset Management Holdings Sarl (“TAMH”)
		(f) Threadneedle Holdings Limited (“THL”)
		(g) TAM UK Holdings Limited (“TUHL”)
		(h) Threadneedle Asset Management Holdings Limited (“TAMHL”)
		(i) TC Financing Ltd (“TCFL”)
		(j) Threadneedle Asset Management Limited (“TAML”)
		(k) Threadneedle Investment Services Limited (“TISL”)

		Persons (a) through (k) are sometimes referred to herein as the “Ameriprise Entities”.

2(b)	Address of Principal Business Office:	(a) Ameriprise Financial, Inc. 145 Ameriprise Financial Center Minneapolis, MN 55474
		(b) Cannon Place, 78 Cannon Street, London, EC4N 6AG
		(c) Cannon Place, 78 Cannon Street, London, EC4N 6AG
		(d) Lambrigger Treuhand AG, Industriestrasse 49, 6300 Zug, Switzerland
		(e) 19 rue de Bitbourg, Luxembourg, 1273
		(f) Cannon Place, 78 Cannon Street, London, EC4N 6AG
		(g) Cannon Place, 78 Cannon Street, London, EC4N 6AG
		(h) Cannon Place, 78 Cannon Street, London, EC4N 6AG
		(i) Cannon Place, 78 Cannon Street, London, EC4N 6AG


		(j) Cannon Place, 78 Cannon Street, London, EC4N 6AG
		(k) Cannon Place, 78 Cannon Street, London, EC4N 6AG

2(c)	Citizenship:	(a) Delaware
		(b) England and Wales
		(c) England and Wales
		(d) Switzerland
		(e) Luxembourg
		(f) England and Wales
		(g) England and Wales
		(h) England and Wales
		(i) England and Wales
		(j) England and Wales
		(k) England and Wales

2(d)	Title of Class of Securities:	Common Stock

2(e)	Cusip Number:	143905107

3	Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b):

(a) Ameriprise Financial, Inc.

A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7)

(b) TAM UK International Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(d) Ameriprise International Holdings GmbH

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(e) Threadneedle Asset Management Holdings Sarl

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(f) Threadneedle Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(g) TAM UK Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(h) Threadneedle Asset Management Holdings Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(i) TC Financing Ltd

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(j) Threadneedle Asset Management Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

(k) Threadneedle Investment Services Limited

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J).

4	Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person.

AFI, as the parent company of the other Ameriprise Entities, may be deemed to beneficially own the shares reported herein by those reporting persons. Accordingly, the shares reported herein by AFI include those shares separately reported herein by those reporting persons.

Each of the Ameriprise Entities disclaims beneficial ownership of any shares reported on this Schedule.

5	Ownership of 5% or Less of a Class: Not Applicable

6	Ownership of more than 5% on Behalf of Another Person: Not Applicable

7	Identification and Classification of the Subsidiaries Which Acquired the Security Being Reported on by the Parent Holding Company:

AFI: See Exhibit I

8	Identification and Classification of Members of the Group:

Not Applicable

9	Notice of Dissolution of Group:

Not Applicable

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 purposes or effect.

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.


Dated: February 14, 2022
	Ameriprise Financial, Inc.

	By:	/s/ Michael G. Clarke
	Name: Michael G. Clarke
	Title: Senior Vice President, Head of Global Operations

	Ameriprise International Holdings GmbH

	By:	/s/ James R. Debuse
	Name: James R. Debuse
	Title: Director

	TAM UK International Holdings Limited
	Threadneedle Asset Management Oversight Limited
	Threadneedle Asset Management Holdings Sarl
	Threadneedle Holdings Limited
	TAM UK Holdings Limited
	Threadneedle Asset Management Holdings Limited
	TC Financing Ltd
	Threadneedle Asset Management Limited
	Threadneedle Investment Services Limited

	By Columbia Management Investment
	Advisers, LLC, as Attorney in Fact

	By:	/s/ Michael G. Clarke
	Name: Michael G. Clarke
	Title: Senior Vice President, Head of Global Operations

	Contact Information
	Mark D. Braley
	Vice President
	Head of Reporting and Data Management \|
	Global Operations and Investor Services
	Telephone: (617) 747-0663

Exhibit Index


Exhibit I		Identification and Classification of the Subsidiaries which Acquired the Security Being Reported on by the Parent Holding Company.

Exhibit II		Joint Filing Agreement

Exhibit III		Powers of Attorney

EX-99.I

Exhibit I

Schedule 13G

Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows:

Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Asset Management Oversight Limited.

Non-US Institution – Threadneedle Asset Management Oversight Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Ameriprise International Holdings GmbH.

Non-US Institution — Ameriprise International Holdings GmbH, a limited liability company incorporated under the laws of Switzerland, is a holding company for various companies including Threadneedle Asset Management Holdings Sarl and its subsidiary entities.

Non-US Institution – Threadneedle Asset Management Holdings Sarl, a private company (société à responsabilité limitée) incorporated in the Grand Duchy of Luxembourg, is a holding company for various companies including Threadneedle Holdings Limited and its subsidiary entities.

Non-US Institution – Threadneedle Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and is the parent entity to TAM UK Holdings Limited.

Non-US Institution – TAM UK Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and is the parent entity to Threadneedle Asset Management Holdings Limited.

Non-US Institution – Threadneedle Asset Management Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and is the parent entity to TC Financing Limited.

Non-US Institution – TC Financing Limited, a private limited company incorporated in England and Wales, is a holding company and is the parent entity to Threadneedle Asset Management Limited.

Non-US Institution – Threadneedle Asset Management Limited, a private limited company incorporated in England and Wales, is an investment adviser authorized and regulated by the UK Financial Conduct Authority.

Non-US Institution – Threadneedle Investment Services Limited, a private limited company incorporated in England and Wales, is a management company authorized and regulated by the U.K. Financial Conduct Authority.

EX-99.II

Exhibit II

Schedule 13G

Joint Filing Agreement

The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2022 in connection with their beneficial ownership of Carriage Services Inc. Each of TAM UK International Holdings Limited, Threadneedle Asset Management Oversight Limited, Ameriprise International Holdings GmbH, Threadneedle Asset Management Holdings Sarl, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset Management Holdings Limited, TC Financing Limited, Threadneedle Asset Management Limited and Threadneedle Investment Services Limited authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make any necessary amendments thereto.

Ameriprise Financial, Inc.


By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Senior Vice President, Head of Global Operations

Ameriprise International Holdings GmbH


By:		/s/ James R. Debuse
Name: James R. Debuse
Title: Director

TAM UK International Holdings Limited

Threadneedle Asset Management Oversight Limited

Threadneedle Asset Management Holdings Sarl

Threadneedle Holdings Limited

TAM UK Holdings Limited

Threadneedle Asset Management Holdings Limited

TC Financing Ltd

Threadneedle Asset Management Limited

Threadneedle Investment Services Limited

By Columbia Management Investment Advisers, LLC, as Attorney in Fact


By:		/s/ Michael G. Clarke
Name: Michael G. Clarke
Title: Senior Vice President, Head of Global Operations

EX-99.III

Exhibit III

Schedule 13G

Powers of Attorney

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 9^th day of December, 2020, by the undersigned as authorized representative of Threadneedle.


For and on behalf of TAM UK International Holdings Limited

By:		/s/ Nick Ring
		Name: Nick Ring
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that Threadneedle Asset Management Oversight Limited, a company incorporated under the laws of England and Wales under registered number 12728361, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 9th day of December, 2020, by the undersigned as authorized representative of Threadneedle.


For and on behalf of Threadneedle Asset Management Oversight Limited

By:		/s/ Nick Ring
		Name: Nick Ring
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that Threadneedle Asset Management Holdings Sàrl, a company registered in the Grand Duchy of Luxembourg / R.C.S. Luxembourg B 143.975, with its principal place of business at 19, rue de Bitbourg, L-1273 Luxembourg (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 6 day of December, 2019, by the undersigned as authorised representative of Threadneedle.

For and on behalf of Threadneedle Asset Management Holdings Sàrl


By:	/s/ William Turner	By:	/s/ William F. Truscott
Name: William Turner			Name: William F. Truscott
Title: Manager			Title: Manager:

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that Threadneedle Holdings Limited, a limited liability company incorporated under the laws of England and Wales under registered number 07398893, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 18 day of December, 2019_, by the undersigned as authorized representative of Threadneedle.


For and on behalf of Threadneedle Holdings Limited

By:		/s/ Peter Stone
		Name: Peter Stone
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK Holdings Limited a company incorporated under the laws of England and Wales under registered number 06779814, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 18 day of December, 2019, by the undersigned as authorized representative of Threadneedle.


For and on behalf of TAM UK Holdings Limited

By:		/s/ Peter Stone
		Name: Peter Stone
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that Threadneedle Asset Management Holdings Limited, a company incorporated under the laws of England and Wales under registered number 03554212, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 18 day of December, 2019, by the undersigned as authorized representative of Threadneedle.


For and on behalf of Threadneedle Asset Management Holdings Limited

By:		/s/ Peter Stone
		Name: Peter Stone
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TC Financing Limited a company incorporated under the laws of England and Wales under registered number 07466657, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 18 day December, 2019, by the undersigned as authorized representative of Threadneedle.


For and on behalf of TC Financing Limited

By:		/s/ Peter Stone
		Name: Peter Stone
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that Threadneedle Asset Management Limited, a company incorporated under the laws of England and Wales under registered number 00573204, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 18 day of December, 2019, by the undersigned as authorized representative of Threadneedle.


For and on behalf of Threadneedle Asset Management Limited

By:		/s/ Peter Stone
		Name: Peter Sone
		Title: Director

LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that Threadneedle Investment Services Limited, a company incorporated under the laws of England and Wales under registered number 3701768, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6AG (“Threadneedle”), does hereby constitute and appoint Columbia Management Investment Advisers, LLC (“CMIA”), a Minnesota limited liability company with its principal office at 225 Franklin Street, Boston, MA 02110, as its true and lawful agent and attorney-in-fact with full power of substitution and revocation and with the power to execute and file with the appropriate governmental agencies within the United States, for and on behalf of Threadneedle, substantial shareholding reports, amendments to substantial shareholding reports, corrections thereto and other documents ancillary to such reports as required by applicable laws and regulations (the “Reports”) and to do any and all acts that said agent and attorney-in-fact deems necessary or appropriate in order to file such Reports.

This Limited Power of Attorney shall remain in effect until revoked in writing by Threadneedle.

IN WITNESS WHEREOF, this power of attorney was made as of this 11 day of December, 2019, by the undersigned as authorized representative of Threadneedle.


For and on behalf of Threadneedle Investment Services Limited

By:		/s/ Peter Stone
		Name: Peter Stone
		Title: Director