-----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, IqplsI2k1wARa2sK1Tz8ikZyd1boz8px4PPNVC7FM6aI69ZpyisRbR3TUB4npmbN fFbH7bIXhzV5C1M2b6ns7g== 0001169232-04-003006.txt : 20040518 0001169232-04-003006.hdr.sgml : 20040518 20040517190522 ACCESSION NUMBER: 0001169232-04-003006 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040518 GROUP MEMBERS: DANIEL J. ENGLANDER GROUP MEMBERS: SCOTT J. VASSALLUZO GROUP MEMBERS: THOMAS N. TRYFOROS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ORTHODONTIC CENTERS OF AMERICA INC /DE/ CENTRAL INDEX KEY: 0000931702 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-HEALTH SERVICES [8000] IRS NUMBER: 721278948 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78534 FILM NUMBER: 04814320 BUSINESS ADDRESS: STREET 1: 3850 N CAUSEWAY BLVD STREET 2: STE 800 CITY: METAIRIE STATE: LA ZIP: 70002 BUSINESS PHONE: 504-834-4392 MAIL ADDRESS: STREET 1: 3850 N CAUSEWAY BLVD STREET 2: STE 800 CITY: METAIRIE STATE: LA ZIP: 70002 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH THOMAS W CENTRAL INDEX KEY: 0000926688 IRS NUMBER: 271229241 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 323 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036611200 MAIL ADDRESS: STREET 1: 323 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: THOMAS W SMITH DATE OF NAME CHANGE: 19940713 SC 13G/A 1 d59674_sc13ga.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* ORTHODONTIC CENTERS OF AMERICA, INC. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 68750P 10 3 (CUSIP Number) N/A (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). CUSIP No. 68750P 10 3 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. 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. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 2,176,120 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 5,250,700 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 2,976,170 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 5,250,700 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,226,870 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 16.4% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -2- CUSIP No. 68750P 10 3 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. 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. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 0 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 5,150,700 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 13,069 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 5,150,700 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,163,769 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -3- CUSIP No. 68750P 10 3 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Scott J. Vassalluzzo - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 17,000 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 5,150,700 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 99,000 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 5,150,700 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,249,700 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.5% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -4- CUSIP No. 68750P 10 3 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Daniel J. Englander - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 26,200 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 100,000 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 26,200 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 100,000 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 126,200 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -5- Explanatory Note: This Amendment No. 7 ("Amendment") to the joint filing on Schedule 13G made by Thomas W. Smith, Thomas N. Tryforos and Scott J. Vassalluzzo with the Securities and Exchange Commission (the "Original Schedule 13G") relating to the common stock, par value $.01 per share ("Common Stock") of Orthodontic Centers of America, Inc., a Delaware corporation, is being filed to add Daniel J. Englander as a joint filer. Mr. Englander is joining this filing on a voluntary basis and disclaims membership in any "group" for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, or for any other purpose. ITEM 1. (a) Name of Issuer: Orthodontic Centers of America, Inc. (b) Address of Issuer's Principal Executive Offices: 3850 North Causeway Boulevard Suite 800 Metairie, LA 70002 ITEM 2. (a) Name of Person Filing: (i) Thomas W. Smith (ii) Thomas N. Tryforos (iii) Scott J. Vassalluzzo (iv) Daniel J. Englander 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. The Reporting Persons each disclaim beneficial ownership of the shares reported in this Schedule 13G in excess of those shares as to which they have or share voting or investment authority. (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: -6- Each of Messrs. Thomas W. Smith, Thomas N. Tryforos, Scott J. Vassalluzzo and Daniel J. Englander 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| ITEM 4. Ownership (a) Thomas W. Smith - 8,226,870 shares; Thomas N. Tryforos - 5,163,769 shares; Scott J. Vassalluzzo - 5,249,700 shares; Daniel J. Englander - 126,200 shares (b) Thomas W. Smith - 16.4%; Thomas N. Tryforos - 10.3%; Scott J. Vassalluzzo - 10.5%; Daniel J. Englander - 0.2% (c) Messrs. Smith, Tryforos, Vassalluzzo and Englander have the sole power to vote or to direct the vote of 2,176,120, 0, 17,000 and 26,200 shares of Common Stock, respectively, and to dispose or to direct the disposition of 2,976,170, 13,069, 99,000 and 20,200 shares of Common Stock, respectively. Messrs. Smith, Tryforos and Vassalluzzo share the power to vote or to direct the vote of and to dispose or to direct the disposition of 5,150,700 shares and Messrs. Smith and Englander share the power to vote or to direct the vote of and to dispose or to direct the disposition 100,000 shares. Voting and investment authority over investment accounts established for the benefit of certain family members and friends of the Reporting Persons is subject to each beneficiary's right to terminate or otherwise direct the disposition of the investment account. 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 Messrs. Smith, Tryforos and Vassalluzzo in the aggregate beneficially own 6,221,939 shares in their capacities as investment managers for certain managed accounts. The managed accounts have the right to receive dividends from, and the proceeds from the sale of, the managed accounts' shares. -7- 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. -8- 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: May 17, 2004 /s/ Thomas W. Smith ---------------------------- Thomas W. Smith /s/ Thomas N. Tryforos ---------------------------- Thomas N. Tryforos /s/ Scott J. Vassalluzzo ---------------------------- Scott J. Vassalluzzo /s/ Daniel J. Englander ---------------------------- Daniel J. Englander -9- JOINT FILING AGREEMENT The undersigned agree that the foregoing Statement on Schedule 13G, dated May 13, 2004, is being filed with the Securities and Exchange Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k) Dated: May 17, 2004 /s/ Thomas W. Smith ----------------------------- Thomas W. Smith /s/ Thomas N. Tryforos ----------------------------- Thomas N. Tryforos /s/ Scott J. Vassalluzzo ----------------------------- Scott J. Vassalluzzo /s/ Daniel J. Englander ----------------------------- Daniel J. Englander -10- -----END PRIVACY-ENHANCED MESSAGE-----