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Proc-Type: 2001,MIC-CLEAR
Originator-Name: webmaster@www.sec.gov
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MIC-Info: RSA-MD5,RSA,
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FORM 4 OMB APPROVAL /OMB
Number: 3235-0287 Expires: December 31, 2001 Estimated average burden hours per
response ...0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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(f) of the Investment Company
Act of 1940 [ ] Check this box if no longer subject
to Section 16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b). ------------------------------------------------------------------------------ 1. Name and Address of Reporting
Person* Gerald E. Parrott RD #1 Barre, VT 05641 -------------------------------------------------------------------------------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading
Symbol Rock of Ages Corporation
"ROAC"
3. IRS or Social Security Number of
Reporting Person (Voluntary) ------------------------------------------------------------------------------ 4. Statement for Month/Year 08/01 5. If Amendment, Date of Original
(Month/Year) ------------------------------------------------------------------------------ 6. Relationship of Reporting Person(s)
to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title
below) [ ] Other (specify below) Vice President/Manufacturing 7. Individual or Joint/Group Filing
(Check Applicable Line) [X] Form filed by One Reporting
Person [ ] Form filed by More than One
Person ------------------------------------------------------------------------------ TABLE I - Non-Derivative Securities
Acquired, Disposed of, or Beneficially
Owned Reminder: Report on a
separate line for each class of securities beneficiallyowned directly or indirectly. *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) -----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------
Last/First/Middle
Box 1895
- -----------------------------------------------------------------------------
Street
- ------------------------------------------------------------------------------
City/State/Zip
------------------------------------------------------------------------------
- ------------------------------------------------------------------------------
- ---------------------------------------------
- ---------------------------------------------------------------------------------------------------------------------
1. Title of Security
2. Transaction Date
(Month/Day/Year)
3. Transaction Code (Instr.
8)
Code V4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and
5)
Amount A or D Price5. Amount of
Securities Beneficially Owned at End of Month
(Instr. 3 and 4)6. Ownership Form: Direct (D) or
Indirect (I)
(Instr. 4)7. Nature of Indirect Beneficial
Ownership
(Instr. 4)
Class A Common Stock
08/01/01
C
4,500 A **
4,500
D
Class A Common Stock
08/01/01
S
4,500 D $6.54
0
D
Class A Common Stock
08/01/01
C
2,000 A **
2,000
D
Class A Common Stock
08/01/01
S
2,000 D $6.00
0
D
FORM 4 (continued)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price
of Derivative Security
3. Transaction Date
(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 Month (Instr. 4)
10. Ownership Form of Derivative
Security: Direct (D) or Indirect (I) (Instr. 4)
11. Nature of Indirect Beneficial
Ownership (Instr. 4)
Code V
(A) (D)
Date Expiration
Exercisable DateTitle Amount
or
Number of
Shares
Stock Option (right to buy)
$3.74
12/31/96
J
50,000
12/31/96* 12/31/01
Class B 50,000
Common
Stock**
D
Stock Option (right to buy)
$3.74
08/01/01
M
4,500
* *
Class B 4,500
Common
Stock**
D
Class B Common Stock
1-for-1**
08/01/01
M
4,500
** **
Class A 4,500
Common
Stock
D
Class B Common Stock
1-for-1**
08/01/01
C
4,500
** **
Class A 4,500
Common
Stock
D
Stock Option (right to buy)
$3.74
08/21/01
M
2,000
* *
Class B 2,000
Common
Stock**
D
Class B Common Stock
1-for-1**
08/21/01
M
2,000
** **
Class A 2,000
Common
Stock
D
Class B Common Stock
1-for-1**
08/21/01
C
2,000
** **
Class A 2,000
Common
Stock
43,500
D
Explanation of Responses:
*Options are exercisable in equal annual installments of 20% per year commencing on the date of grant.
**Shares of Class B Common Stock are convertible on a share-for-share basis into Class A Common Stock at any time at the option of the holder, and convert automatically upon a transfer to any person other than a Permitted Transferee (as defined in the Issuer's Certificate of Incorporation).
------------------------------------------------------------------------------------------------------------------------------ ** 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/Gerald E.Parrott Date: August 28, 2001 Page 2
**Signature of Reporting
Person