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Vassalluzzo Scott J – ‘3’ for 11/1/02 re: Oca, Inc./DE

On:  Tuesday, 11/5/02, at 3:05pm ET   ·   For:  11/1/02   ·   Accession #:  1181431-2-1685   ·   File #:  1-13457

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/05/02  Vassalluzzo Scott J               3          10% Owner   1:15K  Orthodontic Ctrs of Ameri… Inc/DE R R Donnelley … Filer/FA

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Initial Form 3 Filing for Oca                       HTML     15K

This is an HTML Document rendered as filed.  [ Alternative Formats ]

FORM 3
 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*

Vassalluzzo, Scott J.
(Last)                      (First)                      (Middle)

323 Railroad Avenue
(Street)
Greenwich,    CT   06830
(City)                      (State)                      (Zip)
2. Date of Event
Requiring Statement
    Month/Day/Year

11/01/2002

3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)
4. Issuer Name andTicker or Trading Symbol

ORTHODONTIC CENTERS OF AMERICA, INC.
OCA

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

   Director   X 10% Owner
   Officer (give title below)    
X Other (specify below)

Description     Member of Section 13(d) Group
6. If Amendment,
    Date of Original
    (Month/Day/Year)


7. Individual or Joint/Group
    Filing (Check Applicable Line)

X   Form filed by One Reporting Person
     Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
<TD width=100 align=center
I
<TD width=100 align=center
I
<TD width=100 align=center
I
<TD width=100 align=center
I
<TD width=100 align=center
D
1. Title of Security
    (Instr. 4)
2. Amount of Securities Beneficially Owned

    (Instr.4)
3. Ownership Form:
    Direct (D)
    or
    Indirect (I)

    (Instr. 5)
4. Nature of Indirect Beneficial Ownership

    (Instr. 5)
Common Stock, $.01 par value
2,360,600
(1) By Idoya Partners
Common Stock, $.01 par value
2,232,700
(2) By Prescott Associates
Common Stock, $.01 par value
135,200
(3) By Prescott International Partners
Common Stock, $.01 par value
27,000
(4) By Vassalluzzo Family Accounts
Common Stock, $.01 par value
17,000
 
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
    (Instr. 4)
2. Date Exercisable(DE) and
    Expiration Date(ED)
    (Month/Day/Year)





  DE     /     ED  
3. Title and Amount of
    Underlying Securities
    (Instr. 4)





Title     /         Amount or Number of Shares
4. Conver-
    sion or
    Exercise
    Price of
    Deri-
    vative
    Security
 5. Owner-
ship
Form of
Deriv-
ative
Security:
Direct (D)
or
Indirect (I)

(Instr.5) 		6. Nature of
      Indirect
      Beneficial
      Ownership
      (Instr.5)
Explanation of Responses:
 
(1) These shares are owned directly by Idoya Partners ("IP"), a member of a Section 13(d) Reporting Group, and indirectly by the Reporting Person as a general partner of IP. The Reporting Person disclaims beneficial ownership of these shares in excess of his interest under 16a-1(a)(2)(ii)(B).

(2) These shares are owned directly by Prescott Associates ("PA"), a member of a Section 13(d) Reporting Group, and indirectly by the Reporting Person as a general partner of PA. The Reporting Person disclaims beneficial ownership of these shares in excess of his interest under 16a-1(a)(2)(ii)(B).

(3) These shares are owned directly by Prescott International Partners ("PIP"), a member of a Section 13(d) Reporting Group, and indirectly by the Reporting Person as a general partner of PIP. The Reporting Person disclaims beneficial ownership of these shares in excess of his interest under 16a-1(a)(2)(ii)(B).

(4) These shares are owned directly by certain members of the Reporting Person's family. The Reporting Person disclaims beneficial ownership of these shares.
By:
/s/ Scott J. Vassalluzzo                                                                                                11/05/2002
** Signature of Reporting Person                                                                                    Date      




SEC 2270 (07/02)
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).
** 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.

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘3’ Filing    Date    Other Filings
1/31/054
Filed on:11/5/023,  4
For Period end:11/1/023,  4
 List all Filings 
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Filing Submission 0001181431-02-001685   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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