-----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, M5B/SfonCcWjT86nAOyziQBEwZ0QhJINS3XzLrdJZCV9/e9zrPI0yGbIK5sxauY2 0ng7xGU/V3PSYe8WdRBPCA== 0000950172-99-000543.txt : 19990511 0000950172-99-000543.hdr.sgml : 19990511 ACCESSION NUMBER: 0000950172-99-000543 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990510 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: SC 13G SEC ACT: SEC FILE NUMBER: 005-51813 FILM NUMBER: 99616196 BUSINESS ADDRESS: STREET 1: 369 NORTH STATE STREET CITY: CONCORD STATE: NH ZIP: 03301 BUSINESS PHONE: 6032258397 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GHERARDI MARK A CENTRAL INDEX KEY: 0001084192 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 560 GRANITEVILLE RD CITY: GRANITEVILLE STATE: VT ZIP: 05654 BUSINESS PHONE: 8024762252 MAIL ADDRESS: STREET 1: 772 GRANITEVILLE RD CITY: GRANITEVILLE STATE: VT ZIP: 05654 SC 13G 1 OMB APPROVAL OMB Number: 3235-0145 Expires: August 31, 1999 Estimated Average Burden Hours Per Response ...14.90 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )(1) Rock of Ages Corporation (Name of Issuer) Class A Common Stock, Par Value $.01 Per Share (Title of class of securities) 772632 10 5 (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) - ------------- (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 772632 10 5 - --------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON MARK A. GHERARDI - --------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - --------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - --------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 307,573 BENEFICIALLY ---------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 0 REPORTING ---------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 307,573 ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - --------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 307,573 - --------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - --------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------------------------------------------------------------------------- Item 1. (a) Name of Issuer: Rock of Ages Corporation (b) Address of Issuer's Principal Executive Offices: 772 Graniteville Road, Graniteville, Vermont 05654 Item 2. (a) Name of Persons Filing: Mark A. Gherardi (b) Address of Principal Business Office: 560 Graniteville Road, Graniteville, Vermont 05654 (c) Citizenship: United States (d) Title of Class of Securities: Class A Common Stock, Par Value $.01 Per Share (e) CUSIP Number: 772632 10 5 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) |_| Broker or Dealer Registered under Section 15 of the Exchange Act; (b) |_| Bank as defined in Section 3(a)(6) of the Exchange Act; (c) |_| Insurance Company as defined in Section 3(a)(19) of the Exchange Act; (d) |_| Investment Company registered under Section 8 of the Investment Company Act; (e) |_| An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) |_| An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership (a) Amount Beneficially Owned(1): 307,573 (b) Percent of Class(2): 6.5% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 307,573 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the deposition of: 307,573 (iv) Shared power to dispose or to direct the disposition of: 0 - ------------ (1) By virtue of his beneficial ownership of 307,573 shares of Class B Common Stock, par value $.01 per share, of the issuer ("Class B Common Stock"), which is convertible on a share-for-share basis into Class A Common Stock, par value $.01 per share, of the issuer ("Class A Common Stock"), the filing person beneficially owns 307,573 shares of Class A Common Stock. (2) The percent of class is based on the number of shares of Class A Common Stock outstanding as of March 25, 1999, as reported by the issuer in its Annual Report on Form 10-K for the fiscal year ended December 31, 1998, and assumes the conversion on March 25, 1999 of all shares of Class B Common Stock owned by the filing person and also that no other shares of Class B Common Stock beneficially owned by any other stockholder are so converted. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |_|. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. April 7, 1999 ------------------------ (Date) /s/ Mark A. Gherardi ------------------------- (Signature) Mark A. Gherardi/Individually ------------------------- (Name/Title) -----END PRIVACY-ENHANCED MESSAGE-----