UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___)*
Carriage Services, Inc.
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(Name of Issuer)
Class A Common Stock ($0.01 par value)
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(Title of Class of Securities)
143905107
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(CUSIP Number)
November 30, 2000
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(Date of Event Which Requires Filing of this Statement)
David M. Brodsky
Credit Suisse First Boston
11 Madison Avenue
New York, New York 10010
(212) 325-2000
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(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d1(b)
[ ] Rule 13d1(c)
[ ] Rule 13d1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page 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 (however, see the
Notes).
<PAGE>
CUSIP No. 143905107 13G Page 2 of 6 Pages
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Credit Suisse First Boston, on behalf of the Credit Suisse First
Boston business unit
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
(b) X
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
SWITZERLAND
5 SOLE VOTING POWER
NUMBER OF 0
SHARES
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY (see Item 4(a))
EACH
REPORTING 3,146,700
PERSON
WITH 7 SOLE DISPOSITIVE POWER
0
8 SHARED DISPOSITIVE POWER
(see Item 4(a))
3,146,700
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,146,700
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
19.5%
12 TYPE OF REPORTING PERSON*
BK, HC, OO
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 143905107 13G Page 3 of 6 Pages
Item 1.
(a) Name of Issuer:
Carriage Services, Inc.
(b) Address of Issuer's Principal Executive Offices:
1900 St. James Place, 4th Floor, Houston, TX 77056
Item 2.
(a) Name of Persons Filing:
Credit Suisse First Boston, on behalf of the Credit Suisse First Boston
business unit. See Schedule I.
(b) Address of Principal Business Office:
Uetlibergstrasse 231, P.O. Box 900, CH8070 Zurich, Switzerland
(c) Citizenship:
Switzerland
(d) Title of Class of Securities:
Class A Common Stock
(e) CUSIP Number:
143905107
Item 3. If this statement is filed pursuant to Rule 13d1(b), or 13d2(b) or
(c), check whether the person filing is a(n):
(a) [ ] Broker or Dealer registered under Section 15 of the Act (15 U.S.C.
78o)
(b) [X] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c)
(c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act (15
U.S.C. 78c)
(d) [ ] Investment Company registered under Section 8 of the Investment
Company Act (15 (U.S.C. 80a8)
(e) [ ] Person registered as an investment adviser under Section 203 of the
Investment Advisers Act of 1940 (15 U.S.C. 80b3) or under the laws
of any state.
(f) [ ] Employee Benefit Plan or Endowment Fund in accordance
withss.240.13d1(b)(1)(ii)(F)
(g) [X] Parent Holding Company or Control Person in accordance
withss.240.13d1(b)(ii)(G)
(h) [ ] Savings Association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813)
(i) [ ] Church Plan that is excluded from the definition of an investment
company under Section 3(c)(14) of the Investment Company Act of
1940 (15 U.S.C. 80a3)
(j) [ ] Group in accordance withss.240.13d1(b)(1)(ii)(J)
Item 4. Ownership
(a) Amount Beneficially Owned:
See response to Item 9 on page 2.
(b) Percent of Class:
See response to Item 11 on page 2.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See response to Item 5 on page 2.
(ii) Shared power to vote or to direct the vote:
See response to Item 6 on page 2.
(iii) Sole power to dispose or to direct the disposition of:
See response to Item 7 on page 2.
(iv) Shared power to direct the disposition of:
See response to Item 8 on page 2.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the [ ]
date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the
following:
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 Schedule I
Item 8. Identification and Classification of Members of the Group
Not Applicable
Item 9. Notice of Dissolution of Group
Not Applicable
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in
the ordinary course of business and were not acquired and are not held
for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are
not held in connection with or as a participant in any transaction
having that purpose 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.
January 11, 2001
CREDIT SUISSE FIRST BOSTON, acting
solely on behalf of the Credit Suisse
First Boston business unit
By: /s/ David M. Brodsky
------------------------------
Name: David M. Brodsky
Title: Managing Director and
General Counsel - Americas
<PAGE>
Schedule I
This 13G is being filed by Credit Suisse First Boston (the "Bank"), a Swiss
bank, on behalf of itself and its subsidiaries, to the extent that they
constitute part of the Credit Suisse First Boston business unit (the "CSFB
business unit" or the "Reporting Person"). The CSFB business unit is engaged in
the corporate and investment banking, trading (equity, fixed income and foreign
exchange), private equity investment and derivatives businesses on a worldwide
basis. The address of the Bank's principal business and office is
Uetlibergstrasse 231, P.O. Box 900, CH8070 Zurich, Switzerland. The Bank and its
subsidiaries engage in other separately managed activities, most of which
constitute the independently operated Credit Suisse Asset Management business
unit; the Credit Suisse Asset Management business unit provides asset management
and investment advisory services to institutional investors worldwide.
The Bank owns directly a majority of the voting stock, and all of the nonvoting
stock, of Credit Suisse First Boston, Inc. ("CSFBI"), a Delaware corporation.
The ultimate parent company of the Bank and CSFBI, and the direct owner of the
remainder of the voting stock of CSFBI, is Credit Suisse Group ("CSG"), a
corporation formed under the laws of Switzerland.
CSFBI owns all of the voting stock of Credit Suisse First Boston (USA), Inc.
("CSFBUSA"). Credit Suisse First Boston Corporation ("CSFBC"), a Massachusetts
corporation and a registered brokerdealer, is a wholly owned subsidiary of
CSFBUSA. The principal business office of CSFBC is 11 Madison Avenue, New York,
New York 10010.
The principal business of CSG is acting as a holding company for a global
financial services group with five distinct specialized business units that are
independently operated. In addition to the two business units referred to above,
CSG and its consolidated subsidiaries (other than the Bank and its subsidiaries)
are comprised of (a) the Credit Suisse Private Bank business unit that engages
in global private banking business; (b) the Credit Suisse business unit that
engages in the Swiss domestic banking business and (c) the Winterthur business
unit that engages in the global insurance business. CSG's business address is:
Nuschelerstrasse 1, CH8070, Zurich, Switzerland.
CSG, for purposes of the federal securities laws, may be deemed ultimately to
control the Bank, and the CSFB business unit. CSG, its executive officers and
directors, and its direct and indirect subsidiaries (including all of the
business units except the CSFB business unit), may beneficially own shares of
Class A Common Stock ("Common Stock"), and such shares are not reported in this
statement. Due to the separate management and independent operation of its
business units, CSG disclaims beneficial ownership of shares of Common Stock
beneficially owned by its direct and indirect subsidiaries, including the
Reporting Person. The Reporting Person disclaims beneficial ownership of shares
of Common Stock beneficially owned by CSG and any of CSG's and the Bank's other
business units.
