-----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, KtVeY3AwqhnywemiQNzP04ijlUHEO5fXj312w+Hfw58FU6BUw4d+9Uh1lEBIWAcc c6r2K6skbsESFhW2Lp50wQ== 0000084581-01-000009.txt : 20010224 0000084581-01-000009.hdr.sgml : 20010224 ACCESSION NUMBER: 0000084581-01-000009 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010215 FILED AS OF DATE: 20010216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCK OF AGES CORP CENTRAL INDEX KEY: 0000084581 STANDARD INDUSTRIAL CLASSIFICATION: CUT STONE & STONE PRODUCTS [3281] IRS NUMBER: 030153200 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-29464 FILM NUMBER: 1549067 BUSINESS ADDRESS: STREET 1: 369 NORTH STATE STREET CITY: CONCORD STATE: NH ZIP: 03301 BUSINESS PHONE: 6032258397 MAIL ADDRESS: STREET 1: 369 NO STATE STREET CITY: CONCORD STATE: NH ZIP: 03301 COMPANY DATA: COMPANY CONFORMED NAME: SHIPP TERRY CENTRAL INDEX KEY: 0001135192 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 1405 ESSEX COURT CITY: ELIZABETHTOWN STATE: KY ZIP: 42701 BUSINESS PHONE: 2707656224 MAIL ADDRESS: STREET 1: 1405 ESSEX COURT CITY: ELIZABETHTOWN STATE: KY ZIP: 42701 3 1 0001.htm FORM 4 ------------------------------

FORM 3

OMB APPROVAL /OMB Number: 3235-0104

Expires: December 31, 2001

Estimated average burden hours per response ...0.5



UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES



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(f) of the Investment Company Act of 1940



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1. Name and Address of Reporting Person*

Terry Shipp

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Last/First/Middle

1405 Essex Court

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Street

Elizabethtown, KY 42701

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City/State/Zip

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2.Date of Event Requiring Statement (Month/Day/Year)

02/15/01

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3. IRS or Social Security Number of Reporting Person (Voluntary)

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4. Issuer Name and Ticker or Trading Symbol

Rock of Ages Corporation ROAC

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5. Relationship of Reporting Person(s) to Issuer

(Check all applicable)

[ ] Director

[ ] 10% Owner

[x] Officer (give title below)

[ ] Other (specify below)

Vice President/Retail Sales

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

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7. Individual or Joint/Group Filing (Check Applicable Line)

[X] Form filed by One Reporting Person

[ ] Form filed by More than One Person

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TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially

Owned

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1. Title of Security 2. Amount of Securities 3.Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 1,000 D





Reminder: report on a separate line for each class beneficially owned directly or indirectly

*If the form is filed by more than one reporting person, see instruction

4(b)(v).

FORM 4 (continued)

TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially

Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)(Instr.5) 6. Nature of Indirect Beneficial Ownership(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) 07/20/01* 07/20/04 Class A Common Stock 15,000 $4.94 D




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Explanation of Responses:



*Grant to reporting person of option to buy shares of Class A common stock under the Rock of Ages 1994 Stock Plan in a transaction exempt under Rule 16b-3. The option vests in 1/3 increments on 0720/01, 07/20/02 and 07/20/03, respectively.

** 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 is insufficient, see instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.



/s/Terry Shipp

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**Signature of Reporting Person



Date 02/16/01

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