-----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, U1XPSPnqIHzrpKVEW5AUPfR7A2nqYGdL/oSaT8VsWM5KjLcZebYG06HPL+Q+IABg dctZYtsg+3rReET+9eqVvQ== 0001168705-10-000009.txt : 20100212 0001168705-10-000009.hdr.sgml : 20100212 20100211182749 ACCESSION NUMBER: 0001168705-10-000009 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100211 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Collins William L CENTRAL INDEX KEY: 0001294569 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O MORTGAGEIT HOLDINGS INC STREET 2: 33 MAIDEN LANE CITY: NEW YORK STATE: NY ZIP: 10038 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PENN TREATY AMERICAN CORP CENTRAL INDEX KEY: 0000814181 STANDARD INDUSTRIAL CLASSIFICATION: ACCIDENT & HEALTH INSURANCE [6321] IRS NUMBER: 231664166 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38689 FILM NUMBER: 10593395 BUSINESS ADDRESS: STREET 1: 2500 LEGACY DRIVE STREET 2: SUITE 130 CITY: FRISCO STATE: TX ZIP: 75034 BUSINESS PHONE: 4693621214 MAIL ADDRESS: STREET 1: 2500 LEGACY DRIVE STREET 2: SUITE 130 CITY: FRISCO STATE: TX ZIP: 75034 SC 13G/A 1 ptya13gfile021410.txt 12.31.2009 PTYA 13G-A FILING SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------- Under the Securities Exchange Act of 1934 SCHEDULE 13G/A INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 PENN TREATY AMERICAN CORPORATION -------------------- (Name of Issuer) Common Stock, $.10 par value per share --------------------------------------- (Title of Class of Securities) 707874103 ------------ (CUSIP Number) February 12, 2010 ------------------------------------------------------ (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) Page 1 of 2 Pages SCHEDULE 13G CUSIP No. 707874103 Page 2 of 2 Pages - ------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William L. Collins EIN # ###-##-#### - ------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ------------------------------------------------------------------------------- 3) SEC USE ONLY - ------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER 1,822,706 OF -------------------------------------------------- SHARES 6) SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------- REPORTING 7) SOLE DISPOSITIVE POWER PERSON WITH 1,822,706 -------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,822,706 - ------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - ------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.83% - ------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------- Schedule 13G Item 1(a). Name of Issuer: Penn Treaty American Corporation Item 1(b). Address of Issuer's Principal Executive Offices: 2500 Legacy Drive, suite 130 Frisco, Texas 75034 Item 2(a). Name of Person Filing: William L. Collins Item 2(b). Address of Principal Business Office or, if None, Residence: The principal office of William L. Collins is: 600 Lexington Avenue 8th Floor New York, NY 10022 Item 2(c). Citizenship: Mr. Collins is a U.S. citizen. Item 2(d). Title of Class of Securities: Common Stock, $0.10 par value per share Item 2(e). CUSIP Number: 707874103 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or Dealer Registered Under Section 15 of the Act (15 U.S.C. 78o) (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c) (c) |_| Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c) (d) |_| Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) (e) | | Investment Adviser in accordance with ss. 240.13d-1(b)(1)(ii)(E) (f) |_| Employee benefit plan or endowment fund in accordance with ss. 240.13d-1(b)(1)(ii)(F) (g) |_| Parent Holding Company or control person in accordance with ss.240.13d-1(b)(ii)(G) (h) |_| Savings Association as defined in ss.3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) |_| Church plan that is excluded from the definition of an investment company under ss.3(c)(15) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) |_| Group, in accordance with ss.240.13d-1(b)(ii)(J) Item 4. Ownership. (a) Amount beneficially owned: 1,822,706 (b) Percent of class: 7.83% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,822,706 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,822,706 (iv) Shared power to dispose or to direct the disposition of: 0 - -------------- (1) Percentages are based on 23,290,712 shares of Common Stock reported by the Company as outstanding as of March 28, 2008 in its annual report filed on Form 10-K for the period ended December 31, 2008. Such annual report was filed with the Securities Exchange Commission on April 2, 2008 and is the most recent periodic report filed by the Company under the Exchange Act setting forth the number of shares of Common Stock outstanding. 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. No persons other than Mr. Collins have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such Common Stock. 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 acquired and are held in the ordinary course of business and 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 such purpose or effect. SIGNATURE ---------- After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this Statement is true, complete and correct. Dated as of February 12, 2010 By: William L. Collins By: /s/ William L. Collins -------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----