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*
Dennis Merchant
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Last/First/Middle
4390 Clearwater Way
Apt. 1409
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Street
Lexington, KY 40575
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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
05/01
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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/Retail Operations
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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 | 05/03/01 | C | 5,000 A *** | 5,000 | 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 |
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| Stock Option (right to buy) | $3.74 | 12/31/96 | J | 5,000 | 12/31/96* 12/31/01 | Class
B 5,000 Common Stock** |
D | |||
| Stock Option (right to buy) | $4.94 | 07/20/00 | J | 10,000 | 07/20/01** 07/20/04 | Class
A 10,000 Common Stock |
D | |||
| Stock Option (right to buy) | $3.74 | 05/03/01 | M | 5,000 | *** *** | Class
B 5,000 Common Stock*** |
D | |||
| Class B Common Stock | 1-for-1*** | 05/03/01 | M | 5,000 | *** *** | Class
A 5,000 Common Stock |
D | |||
| Class B Common Stock | 1-for-1** | 05/03/01 | C | 5,000 | *** *** | Class
A 5,000 Common Stock |
10,000 | D |
Explanation of Responses:
*Grant to reporting person of option to buy shares of Class B Common Stock under the Rock of Ages 1994 Stock Plan in a transaction exempt under Rule 16b-3. The option vest in 5 equal installments on 12/31/96, 12/31/97, 12/31/98, 12/31/99 and 12/31/00, respectively.
**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 07/20/01, 07/20/02 and 07/20/03, respectively.
***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/Dennis Merchant Date: September 21, 2001 Page 2
**Signature of
Reporting Person