[144] CARRIAGE SERVICES INC SEC Filing

Rhea-AI Filing Summary

Carriage Services, Inc. (CSV) notice reports a proposed sale of 4,250 common shares by a selling person through Merrill Private Wealth with an aggregate market value of 196075, and an approximate sale date of 10/07/2025 on the NASQ exchange. The filing lists prior acquisitions of the same class recorded under an ESOP between 09/30/2020 and 03/31/2024, totaling units recorded in multiple tranches (largest single tranche 1,507 shares on 12/15/2022). The form also discloses a prior sale by the same person of 4,250 shares on 08/07/2025 for gross proceeds of 200919. The signer affirms no undisclosed material adverse information and notes the standard Rule 144 and 10b5-1 representations.

Positive

• Orderly brokered sale planned through Merrill Private Wealth, indicating institutional execution
• Securities were acquired via ESOP, showing plan-based origin rather than opportunistic grants

Negative

• Recent prior sale of the same 4,250 shares on 08/07/2025 for 200919, indicating continued disposals from the same account
• No 10b5-1 plan adoption date disclosed in the filing text, which could affect timing certainty if relying on a trading plan

Insights

Equity Transactions Analyst

Planned sale of 4,250 CSV shares via a broker; comparable sale occurred in August 2025.

The notice records a proposed brokered sale of 4,250 common shares with an aggregate market value of 196075 and an intended trade date of 10/07/2025. The selling person previously sold the same quantity on 08/07/2025 for gross proceeds of 200919, showing recent liquidity events from this account.

Key dependencies include execution at market prices on the NASQ exchange and any holding-period or volume-aggregation rules under Rule 144 that could affect timing. Watch short-term trading activity over the next few weeks around 10/07/2025.

Securities Compliance Specialist

Form 144 documents Rule 144 representations and ESOP-originated holdings; signature affirms no undisclosed material facts.

The securities to be sold were acquired in multiple tranches through an ESOP between 09/30/2020 and 03/31/2024, indicating employee-plan origin rather than open-market purchases. The filer signs the required representation about the absence of undisclosed material information and references Rule 10b5-1 timing language.

Compliance risks center on proper aggregation of sales under Rule 144 and adherence to any 10b5-1 plan dates if relied upon; confirm whether a written 10b5-1 plan date was provided before the intended sale date 10/07/2025.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
COMMON	MERRILL PRIVATE WEALTH 800 CAPITOL ST STE 2060 HOUSTON TX 77002	4250	196075	15698487	10/07/2025	NASQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
COMMON	09/30/2020	ESOP	CARRIAGE SERVICES			304	09/30/2020	ESOP/CASH
COMMON	12/15/2022	ESOP	CARRIAGE SERVICES			1507	12/15/2022	ESOP/CASH
COMMON	03/31/2023	ESOP	CARRIAGE SERVICES			576	03/31/2023	ESOP/CASH
COMMON	06/30/2023	ESOP	CARRIAGE SERVICES			304	06/30/2023	ESOP/CASH
COMMON	02/22/2024	ESOP	CARRIAGE SERVICES			934	02/22/2024	ESOP/CASH
COMMON	03/31/2024	ESOP	CARRIAGE SERVICES			625	03/31/2024	ESOP/CASH

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
CARLOS QUEZADA 1529 INDIANA ST HOUSTON TX 77006	COMMON	08/07/2025	4250	200919

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 for CSV announce?

It notifies a proposed sale of 4,250 common shares with an aggregate market value of 196075, expected on 10/07/2025 via Merrill Private Wealth on NASQ.

Who is the selling person named in the CSV Form 144?

The filing lists the selling person as Carlos Quezada with an address in Houston, TX; he previously sold 4,250 shares on 08/07/2025.

How were the shares being sold acquired according to the filing?

The shares were acquired via an ESOP in multiple tranches between 09/30/2020 and 03/31/2024, with tranche sizes listed (e.g., 1,507 shares on 12/15/2022).

Was there a recent sale by the same person before this proposed sale?

Yes: the filing discloses a sale of 4,250 shares on 08/07/2025 that generated gross proceeds of 200919.

Does the Form 144 state any undisclosed material information about Carriage Services?

The signer represents they do not know any material adverse information about the issuer that has not been publicly disclosed, per the required certification language.