-----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, VRs5UAwJF5HAxXOsZLIN5XD1UOohNB3UkSTwJjshIBgDiW9CPrA6bfHssvDpGD/R odoOMqop6uo4Uanyvsv4Fg== 0001169232-03-005223.txt : 20030814 0001169232-03-005223.hdr.sgml : 20030814 20030814143120 ACCESSION NUMBER: 0001169232-03-005223 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030814 GROUP MEMBERS: THE R. TEMPLETON SMITH FOUNDATION GROUP MEMBERS: THE ROCKSIDE FOUNDATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PALOMAR MEDICAL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000881695 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 043128178 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43414 FILM NUMBER: 03846352 BUSINESS ADDRESS: STREET 1: 82 CAMBRIDGE STREET STREET 2: SUITE 1 CITY: BURLINGTON STATE: MA ZIP: 01803 BUSINESS PHONE: 7819932300 MAIL ADDRESS: STREET 1: 82 CAMBRIDGE STREET STREET 2: SUITE 1 CITY: BURLINGTON STATE: MA ZIP: 01803 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MARK T CENTRAL INDEX KEY: 0001102808 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 7670 FIRST PLACE CITY: OAKWOOD STATE: OH ZIP: 44146 BUSINESS PHONE: 4403590000 MAIL ADDRESS: STREET 1: 7670 FIRST PLACE CITY: OAKWOOD STATE: OH ZIP: 44146 SC 13D/A 1 d56701_sc13d-a.txt SC 13D/A ------------------------------------------- OMB APPROVAL ------------------------------------------- OMB Number: Expires: Estimated average burden hours per form................... ------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 9)* Palomar Medical Technologies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 697529-10-5 - -------------------------------------------------------------------------------- (CUSIP Number) Adam D. Eilenberg Ehrenreich Eilenberg & Krause LLP 11 East 44th Street, 17th Floor New York, N.Y. 10017 (212) 986-9700 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 14, 2003 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement of Schedule 13G to report the acquisition which is the subject of the Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. *The remainder of this cover page shall be filed 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 on 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). (Continued on following page(s)) CUSIP No. 697529-10-5 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Rockside Foundation - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION OH - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 274,273 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 648,430 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 274,273 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 648,430 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 648,430 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.66% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 697529-10-5 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mark T. Smith - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 202,728 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 648,430 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 202,728 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 648,430 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 648,430 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.66% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 697529-10-5 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The R. Templeton Smith Foundation - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION OH - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 171,429 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 648,430 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 171,429 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 648,430 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 648,430 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.66% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Schedule 13D Item 1. Security and Issuer This statement relates to the Common Stock, $.01 par value, of Palomar Medical Technologies, Inc. (the "Issuer"), which has its principal executive office at 82 Cambridge Street, Suite 1, Burlington, MA 01803. This statement is filed pursuant to Rule 13d-2(a) with respect to securities owned by the reporting persons specified herein as of February 22, 2001 and amends the Schedule 13 D filed on August 3, 1998, Amendment No. 1 filed on December 22, 1998, Amendment No. 2 filed on January 25, 1999, Amendment No. 3 filed on February 16, 1999, Amendment No. 4 filed on April 15, 1999, Amendment No. 5 filed on May 24, 1999, Amendment No. 6 filed on July 20, 1999, another Amendment No. 6 filed on January 10, 2000, Amendment No. 7 filed on February 22, 2001 and Amendment No. 8 filed on May 27, 2003 (collectively the "Schedule 13D"). The reporting persons filing this amendment are Mark T. Smith, The Rockside Foundation ("Rockside") and The R. Templeton Smith Foundation. Except as set forth herein, the Schedule 13D is hereby restated in its entirety. Item 5. Interest in Securities of the Issuer See Items 7 through 13 of the Schedule 13D cover page. The stockholdings of the Reporting Persons have been adjusted to reflect (i) the expiration on July 24, 2003 of warrants to purchase 257,143 shares of common stock of the Issuer held by Rockside and warrants to purchase 171,429 shares of common stock held by Mark T. Smith, (ii) the sales by Rockside, in open market transactions, of an aggregate of 37,692 shares of common stock between May 21 and August 8, 2003 at prices ranging from $6.95 per share to $3.55 per share, (iii) the sales by Mark T. Smith, in open market transactions, of an aggregate of 33,484 shares of common stock between June 9 and July 7, 2003 at prices ranging from $5.48 per share to $5.02 per share and (iv) the sales by The R. Templeton Smith Foundation, in open market transactions, of an aggregate of 259,400 shares of common stock between July 9 and August 5, 2003 at prices ranging from $6.32 per share to $4.75 per share. The reporting persons collectively now own less than 5% of the outstanding common stock of the Issuer. 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: August 14, 2003 THE ROCKSIDE FOUNDATION By: /s/ John B. Haley ---------------------------------- Name: John B. Haley Title: President /s/ Mark T. Smith ---------------------------------- Mark T. Smith THE R. TEMPLETON SMITH FOUNDATION By: /s/ Edward C. Smith ---------------------------------- Name: Edward C. Smith Title: Treasurer (120496DTI) -----END PRIVACY-ENHANCED MESSAGE-----