0000084581-01-500058.txt : 20011009 0000084581-01-500058.hdr.sgml : 20011009 ACCESSION NUMBER: 0000084581-01-500058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010919 FILED AS OF DATE: 20010921 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29464 FILM NUMBER: 1741673 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: PARROTT GERALD E CENTRAL INDEX KEY: 0001135208 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: RD #1 BOX 1895 CITY: BARRE STATE: VT ZIP: 05641 BUSINESS PHONE: 8024792024 MAIL ADDRESS: STREET 1: RD #1 BOX 1895 CITY: BARRE STATE: VT ZIP: 05641 4 1 parrottformsept.htm FORM 4 ------------------------------

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).

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1. Name and Address of Reporting Person*

Gerald E. Parrott
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Last/First/Middle

RD #1
Box 1895

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Street

Barre, VT 05641
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City/State/Zip

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2. Issuer Name and Ticker or Trading Symbol

Rock of Ages Corporation "ROAC"
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3. IRS or Social Security Number of Reporting Person (Voluntary)

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4. Statement for Month/Year

09/01
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5. If Amendment, Date of Original (Month/Year)

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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
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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. Transaction Date (Month/Day/Year) 3. Transaction Code (Instr. 8)
Code          V
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
Amount   A or D   Price
5. 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 09/19/01 C           22,500       A          ** 22,500 D  
Class A Common Stock 09/19/01 S           22,500       D          $5.90 0 D  


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).


FORM 4 (continued)

TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

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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   Date
Title    Amount
           or
           Number of
           Shares
Stock Option (right to buy) $3.74 12/31/96 J      37,500       12/31/96*   12/31/01 Class B    37,500
Common
Stock**
  D
Stock Option (right to buy) $3.74 09/19/01 M                22,500    *                * Class B    22,500
Common
Stock**
  D
Class B Common Stock 1-for-1** 09/19/01 M      22,500              **                ** Class A    22,500
Common
Stock
  D
Class B Common Stock 1-for-1** 09/19/01 C                22,500    **                ** Class A    2,000
Common
Stock
15,000 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).

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** 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
**Signature of Reporting Person


Date: September 21, 2001

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