-----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, Gy9GelZVlIhy08CRthLEC2MbJcN1IW3TnibEngJkXtgU77fMeKPGHLsit3tBsnkv 2VnlZji1CiqU66NCEbAZ0Q== 0000084581-01-500083.txt : 20020413 0000084581-01-500083.hdr.sgml : 20020413 ACCESSION NUMBER: 0000084581-01-500083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011214 FILED AS OF DATE: 20011221 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: 1820414 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: ANDERSON GEORGE R CENTRAL INDEX KEY: 0001142090 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2209 NORTH CREEK COURT CITY: SUN CITY CENTER STATE: FL ZIP: 33573 BUSINESS PHONE: 8136335728 MAIL ADDRESS: STREET 1: 2209 NORTH CREEK COURT CITY: SUN CITY CENTER STATE: FL ZIP: 33573 4 1 andersonformfourdec.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*

George R. Anderson
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Last/First/Middle

2209 North Creek Court
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Street

Sun City Center, FL 33573
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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

12/01
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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)

[x] Director

[ ] 10% Owner

[ ] Officer (give title below)

[ ] Other (specify below)

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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 12/14/01 S           25,000       A          ** 25,000 I By Trust
Class A Common Stock                                15,000 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
Stock Option (right to buy) $3.74 12/31/96 J      25,000       12/31/96*             12/31/01 Class B    25,000
Common
Stock*
25,000 D
Stock Option (right to buy) $3.74 12/14/01 M             25,000 *             * Class B    25,000
Common
Stock*
25,000 D
Class B Common Stock 1-for-1** 12/14/01 M      25,000       **             ** Class A    25,000
Common
Stock
25,000 D
Class B Common Stock 1-for-1** 12/14/01 C            25,000 **             ** Class A    25,000
Common
Stock
0 D



Explanation of Responses:

* Grant to reporting person of option to buy Class B common stock under the Rock of Ages 1994 Stock Plan in a transaction exempt under Rule16b-3. The option becomes exercisable in 20% increments 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.

**Signature of Reporting Person
/s/George R. Anderson
George R. Anderson

Date: December 21, 2001

Page 2

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