SEC Info - Smith Thomas W, et al. - ‘SC 13G/A’ on 2/14/01 re: Oca, Inc./DE

SEC Info℠

Home

Help

Please Sign In

Smith Thomas W, et al. – ‘SC 13G/A’ on 2/14/01 re: Oca, Inc./DE

On: Wednesday, 2/14/01, at 1:13pm ET · Accession #: 891554-1-500853 · File #: 5-49299

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

 2/14/01  Smith Thomas W                    SC 13G/A               1:10K  Oca, Inc./DE                      Document Techs Inc/FA
          Smith Thomas W
          Thomas N. Tryforos

Amendment to Statement of Beneficial Ownership — Schedule 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Amendment to Statement of Beneficial Ownership         7     23K

Document Table of Contents

Page	(sequential)	\|	(alphabetic)	Top
			Alternative Formats (Word, et al.) Certification Identification and Classification of Members of the Group Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a: Name of Issuer: Name of Person Filing: (i) Thomas W. Smith (ii) Thomas N. Tryforos Notice of Dissolution of Group Ownership Ownership of Five Percent or Less of a Class Ownership of More than Five Percent on Behalf of Another Person
1	1st Page - Filing Submission
4	Item 1. (a). Name of Issuer:
"	Item 2. (a). Name of Person Filing: (i) Thomas W. Smith (ii) Thomas N. Tryforos
"	Item 3. If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a:
5	Item 4. Ownership
"	Item 5. Ownership of Five Percent or Less of a Class
"	Item 6. Ownership of More than Five Percent on Behalf of Another Person
"	Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
"	Item 8. Identification and Classification of Members of the Group
"	Item 9. Notice of Dissolution of Group
"	Item 10. Certification

SC 13G/A 1st Page of 7 TOC ↑Top Previous Next ↓Bottom Just 1st
 
 UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

 Under the Securities Exchange Act of 1934
(Amendment No. 1)*

ORTHODONTIC CENTERS OF AMERICA, INC.
(Name of Issuer)

Common Stock, $.01 par value
(Title of Class of Securities)

 68750P 10 3
(CUSIP Number)

 December 31, 2000
 (Date of Event which Requires filing of this Statement)

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)                                                              

* 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).                                                                         

SC 13G/A 2nd Page of 7 TOC 1st Previous Next ↓Bottom Just 2nd
CUSIP No. 68750P 10 3                                                           

________________________________________________________________________________
1.   NAMES OF REPORTING PERSONS                                                 
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)           

Thomas W. Smith                                                       
________________________________________________________________________________
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP                           
                                                          (a)  [_]
                                                          (b)  [X]

________________________________________________________________________________
3.   SEC USE ONLY                                                               

________________________________________________________________________________
4.   CITIZEN OR PLACE OF ORGANIZATION                                           

United States                                                         
________________________________________________________________________________
NUMBER OF    5.   SOLE VOTING POWER                                         

SHARES           713,650                                                  
               _________________________________________________________________
BENEFICIALLY   6.   SHARED VOTING POWER                                         

OWNED BY          2,038,000                                                 
               _________________________________________________________________
EACH       7.   SOLE DISPOSITIVE POWER                                  

REPORTING         713,650                                                   
               _________________________________________________________________
PERSON      8.   SHARED DISPOSITIVE POWER                                 

WITH            2,038,000                                               
________________________________________________________________________________
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON               

2,751,650                                                             
________________________________________________________________________________
10.  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES           

Not Applicable                                                        

________________________________________________________________________________
11.  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9                            

5.7%                                                                  
________________________________________________________________________________
12.  TYPE OF REPORTING PERSON                                                   

IN                                                                    
________________________________________________________________________________

-2- 

SC 13G/A 3rd Page of 7 TOC 1st Previous Next ↓Bottom Just 3rd
CUSIP No. 68750P 10 3                                                           

________________________________________________________________________________
1.   NAMES OF REPORTING PERSONS                                                 
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)           

Thomas N. Tryforos                                                    
________________________________________________________________________________
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP                           
                                                          (a)  [_]
                                                          (b)  [X]

________________________________________________________________________________
3.   SEC USE ONLY                                                               

________________________________________________________________________________
4.   CITIZEN OR PLACE OF ORGANIZATION                                           

United States                                                         
________________________________________________________________________________
NUMBER OF    5.   SOLE VOTING POWER                                         

SHARES           0                                                        
               _________________________________________________________________
BENEFICIALLY   6.   SHARED VOTING POWER                                         

OWNED BY          2,038,000                                                 
               _________________________________________________________________
EACH       7.   SOLE DISPOSITIVE POWER                                  

REPORTING         0                                                         
               _________________________________________________________________
PERSON      8.   SHARED DISPOSITIVE POWER                                 

WITH            2,038,000                                               
________________________________________________________________________________
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON               

2,038,000                                                             
________________________________________________________________________________
10.  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES           

Not Applicable                                                        

________________________________________________________________________________
11.  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9                            

4.2%                                                                  
________________________________________________________________________________
12.  TYPE OF REPORTING PERSON                                                   

IN                                                                    
_______________________________________________________________________________ 

-3- 

SC 13G/A 4th Page of 7 TOC 1st Previous Next ↓Bottom Just 4th
ITEM 1.   (a)  Name of Issuer:                                                  

Orthodontic Centers of America, Inc.              

(b)  Address of Issuer's Principal Executive Offices:       
5000 Sawgrass Village Circle                      
Suite 25                                          
Ponte Vedra Beach, Florida 32082                  

ITEM 2.   (a)  Name of Person Filing:                                           
(i)  Thomas W. Smith                              
(ii) Thomas N. Tryforos                           

       The filing of this Statement shall not be deemed to be an
             admission that the filing persons comprise a "group" within the
           meaning of Section 13(d)(3) of the Securities Exchange Act of
1934, as amended.                                 

(b)  Address of Principal Business Office:                  

              The following is the address of the principal business office of
each of the filing persons:                       

323 Railroad Avenue                               
Greenwich, CT  06830                              

(c)  Citizenship:                                           

         Each of Messrs. Thomas W. Smith and Thomas N. Tryforos is a
United States citizen.                            

(d)  Title of Class of Securities:                          

Common Stock, par value $.01 per share.           

(e)  CUSIP Number:                                          

68750P 10 3                                       

ITEM 3.   If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or  
(c), check whether the person filing is a:                  

Not applicable.                                             

        If this Statement is filed pursuant to Rule 13d-1(c), check this box
[x]                                                         

-4- 

SC 13G/A 5th Page of 7 TOC 1st Previous Next ↓Bottom Just 5th
ITEM 4.   Ownership                                                             

 (a)  Thomas W. Smith - 2,751,650 shares; Thomas N. Tryforos -
2,038,000 shares                                  

(b)  Thomas W. Smith - 5.7%; Thomas N. Tryforos - 4.2%      

        (c)  Each of Thomas W. Smith and Thomas N. Tryforos has shared power
             to vote or to direct the vote and shared power to dispose or to
             direct the disposition of 2,038,000 shares; Thomas W. Smith has
             sole power to vote and dispose of 713,650 shares, and Thomas N.
           Tryforos has the sole power to vote and dispose of no shares.

ITEM 5.   Ownership of Five Percent or Less of a Class                          

Not applicable.                                             

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 the securities and were not acquired and
          are not held in connection with or as a participant in any transaction
having that purpose or effect.                              

-5- 

SC 13G/A 6th Page of 7 TOC 1st Previous Next ↓Bottom Just 6th
 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.                                                                        

Date: February 14, 2001                                                         

                                               /s/ Thomas W. Smith
                                               ---------------------------------
                                               Thomas W. Smith

                                                /s/ Thomas N. Tryforos
                                               ---------------------------------
                                                  Thomas N. Tryforos

-6- 

SC 13G/A Last Page of 7 TOC 1st Previous Next ↓Bottom Just 7th
JOINT FILING AGREEMENT

   The undersigned agree that the foregoing Statement on Schedule 13G, dated
February 14, 2001, is being filed with the Securities and Exchange Commission on
behalf of each of the undersigned pursuant to Rule 13d-1(k)                     

Dated: February 14, 2001                                                        

                                               /s/ Thomas W. Smith
                                               ---------------------------------
                                               Thomas W. Smith

                                                /s/ Thomas N. Tryforos
                                               ---------------------------------
                                                  Thomas N. Tryforos

-7-

SC 13G/A	1st Page of 7	TOC	↑Top	Previous	Next	↓Bottom	Just 1st

SC 13G/A	2nd Page of 7	TOC	1st	Previous	Next	↓Bottom	Just 2nd

SC 13G/A	3rd Page of 7	TOC	1st	Previous	Next	↓Bottom	Just 3rd

SC 13G/A	4th Page of 7	TOC	1st	Previous	Next	↓Bottom	Just 4th

SC 13G/A	5th Page of 7	TOC	1st	Previous	Next	↓Bottom	Just 5th

SC 13G/A	6th Page of 7	TOC	1st	Previous	Next	↓Bottom	Just 6th

SC 13G/A	Last Page of 7	TOC	1st	Previous	Next	↓Bottom	Just 7th

Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘SC 13G/A’ Filing	Date	First	Last	Other Filings

Filed on:	2/14/01	6	7	13F-HR, SC 13G, SC 13G/A
	12/31/00	1		10-K405, 10-K405/A, 11-K, 13F-HR, NT 10-K
				List all Filings

↑Top

Filing Submission 0000891554-01-500853 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Smith Thomas W, et al. – ‘SC 13G/A’ on 2/14/01 re: Oca, Inc./DE

On: Wednesday, 2/14/01, at 1:13pm ET · Accession #: 891554-1-500853 · File #: 5-49299

Previous ‘SC 13G’: ‘SC 13G/A’ on 2/14/01 · Next: ‘SC 13G/A’ on 2/14/01 · Latest: ‘SC 13G/A’ on 1/5/12

Amendment to Statement of Beneficial Ownership — Schedule 13GFiling Table of Contents

Document Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

Amendment to Statement of Beneficial Ownership — Schedule 13G
Filing Table of Contents