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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
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*
The Goldman Sachs Group, Inc.
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(Last) (First) (Middle)
85 Broad Street
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(Street)
New York, New York 10004
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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. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
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4. Statement for Month/Year
October/1999
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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 [ X ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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7. Individual or Joint/Group Filing (Check Applicable Line)
[ ] Form filed by One Reporting Person
[ X ] Form filed by More than One Reporting Person
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<TABLE>
<CAPTION>
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Table I -- Non-Derivative Securities Acquired, Disposed of, |
or Beneficially Owned |
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| | | | |6. | |
| | | 4. |5. |Owner- | |
| | | Securities Acquired (A) or |Amount of |ship | |
| | 3. | Disposed of (D) |Securities |Form: |7. |
|2. | Transaction| (Instr. 3, 4 and 5) |Beneficially |Direct |Nature of |
|Transaction | Code | -------------------------------|Owned at End |(D) or |Indirect |
1. |Date | (Instr. 8) | | (A) | |of Month |Indirect |Beneficial|
Title of Security |(Month/Day/ | -----------| Amount | or | Price |(Instr. 3 |(I) |Ownership |
(Instr. 3) |Year) | Code | V | | (D) | |and 4) |(Instr.4)|(Instr. 4)|
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
| | | | | | | | | |
Class A Common Stock | 10/18/99 | S | | 01 | D | $6.9375 | 02 | 02 | 02 |
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</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction
4(b)(v).
FORM 4 (continued)
<TABLE>
<CAPTION>
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned |
(e.g., puts, calls, warrants, options, convertible securities) |
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| | | | | | | |9. |10. | |
| | | | | | | |Number |Owner-| |
| | | | | | | |of |ship | |
|2. | | | | | | |Deriv- |of | |
|Conver- | | | 5. | |7. | |ative |Deriv-|11. |
|sion | | | Number of | |Title and Amount | |Secur- |ative |Nature|
|or | | | Derivative |6. |of Underlying |8. |ities |Secur-|of |
|Exer- | |4. | Securities |Date |Securities |Price |Bene- |ity: |In- |
|cise |3. |Trans-| Acquired (A) |Exercisable and |(Instr. 3 and 4) |of |ficially |Direct|direct|
|Price |Trans- |action| or Disposed |Expiration Date |-----------------------|Deriv- |Owned |(D) or|Bene- |
1. |of |action |Code | of (D) |(Month/Day/Year) | |Amount |ative |at End |In- |ficial|
Title of |Deriv- |Date |(Instr| (Instr. 3, |-----------------| |or |Secur- |of |direct|Owner-|
Derivative |ative |(Month/ |8) | 4 and 5) |Date |Expira- | |Number |ity |Month |(I) |ship |
Security |Secur- |Day/ |------| ------------ |Exer- |tion | |of |(Instr. |(Instr. |(Instr|(Instr|
(Instr. 3) |ity |Year) |Code|V| (A) | (D) |cisable |Date |Title |Shares |5) |4) |4) |4) |
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<S> <C> <C> <C> <C><C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
| | | | | | | | | | | | | | |
| | | | | | | | | | | | | | |
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</TABLE>
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Instruction 4(b)(v) list of other Reporting Persons:
This statement is being filed by Goldman Sachs Performance Partners, L.P.
("Performance Partners"), Goldman Sachs Performance Partners (Offshore), L.P.
("Performance Partners Offshore" and, together with Performance Partners, the
"Limited Partnerships"), Commodities Corporation LLC ("Commodities Corp."),
Goldman, Sachs & Co. ("Goldman Sachs") and The Goldman Sachs Group, Inc. ("GS
Group" and, together with Performance Partners, Performance Partners Offshore,
Commodities Corp. and Goldman Sachs, the "Reporting Persons"). The principal
business address of each of Goldman Sachs and GS Group is 85 Broad Street, New
York, New York 10004. The principal business address of each of Commodities
Corp., Performance Partners and Performance Partners Offshore is 701 Mount Lucas
Road, Princeton, New Jersey 08540.
Explanation of Responses:
01: Performance Partners sold 3,300 shares of Class A Common Stock of the Issuer
("Common Stock") and Performance Partners Offshore sold 2,200 shares of Common
Stock.
02: Goldman Sachs and GS Group may be deemed to own beneficially and indirectly
in the aggregate 56,000 shares of Common Stock through the Limited Partnerships.
Commodities Corp. is the general partner and trading manager of the Limited
Partnerships. Commodities Corp. is a subsidiary of GS Group and an advisory
affiliate of a separate operating division of Goldman Sachs. Goldman Sachs is an
indirect wholly-owned subsidiary of GS Group. Goldman Sachs and GS Group each
disclaim beneficial ownership of the securities reported herein except to the
extent of their pecuniary interest therein.
Performance Partners may be deemed to own beneficially and directly and its
general partner, Commodities Corp., may be deemed to own beneficially and
indirectly 34,300 shares of Common Stock. Commodities Corp. disclaims beneficial
ownership of the securities reported herein except to the extent of its
pecuniary interest therein.
Performance Partners Offshore may be deemed to own beneficially and directly and
its general partner, Commodities Corp., may be deemed to own beneficially and
indirectly 21,700 shares of Common Stock. Commodities Corp. disclaims beneficial
ownership of the securities reported herein except to the extent of its
pecuniary interest therein.
**Signatures:
GOLDMAN SACHS PERFORMANCE PARTNERS, L.P.
By: s/ Hans L. Reich
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Name: Hans L. Reich
Title: Attorney-in-fact
GOLDMAN SACHS PERFORMANCE PARTNERS (OFFSHORE), L.P.
By: s/ Hans L. Reich
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Name: Hans L. Reich
Title: Attorney-in-fact
COMMODITIES CORPORATION LLC
By: s/ Hans L. Reich
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Name: Hans L. Reich
Title: Attorney-in-fact
THE GOLDMAN SACHS GROUP, INC.
By: s/ Hans L. Reich
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Name: Hans L. Reich
Title: Attorney-in-fact
GOLDMAN, SACHS & CO.
By: s/ Hans L. Reich
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Name: Hans L. Reich
Title: Attorney-in-fact
Date: November 10, 1999
** 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 provided is insufficient, see Instruction 6 for procedures.
Alternatively, this Form is permitted to be submitted to the
Commission in electronic format at the option of the reporting person
pursuant to Rule 101(b)(4) of Regulation S-T.
