-----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, I3eEipLP+Oe+AYP8c5IfHzB4fMjppF1OqFf1Duz7B4BdgNIx8Lhnoi4r2PaupHXw pZHpzvsWM2R0he3KHzynrQ== 0000890566-98-000271.txt : 19980305 0000890566-98-000271.hdr.sgml : 19980305 ACCESSION NUMBER: 0000890566-98-000271 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980304 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE DENTAL CENTERS INC CENTRAL INDEX KEY: 0001018152 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-NURSING & PERSONAL CARE FACILITIES [8050] IRS NUMBER: 760486898 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52917 FILM NUMBER: 98557646 BUSINESS ADDRESS: STREET 1: 1360 POST OAK BLVD STREET 2: STE 1300 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7135131400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE JACK H JR CENTRAL INDEX KEY: 0001057086 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1360 POST OAK BLVD STREET 2: SUITE 1300 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7135131400 MAIL ADDRESS: STREET 1: 1360 POST OAK BLVD STREET 2: SUITE 1300 CITY: HOUSTON STATE: TX ZIP: 77056 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ...)* CASTLE DENTAL CENTERS, INC. (Name of Issuer) COMMON STOCK $.001 PAR VALUE PER SHARE (Title of Class of Securities) 14844P 10 5 (CUSIP Number) *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). Page 1 of 9 CUSIP NO. 14844P 10 5 13G Page 2 of 9 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JACK H. CASTLE, JR. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] NONE (B)[ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES NUMBER OF 5 SOLE VOTING POWER SHARES 714,000 6 SHARED VOTING POWER BENEFICIALLY 514,000 OWNED BY 7 SOLE DISPOSITIVE POWER EACH 714,000 REPORTING 8 SHARED DISPOSITIVE POWER PERSON 514,000 WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,228,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 19.7% 12 TYPE OF REPORTING PERSON* IN Page 2 of 9 CUSIP NO. 14844P 10 5 13G Page 3 of 9 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JACK H. CASTLE, D.D.S. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] NONE (B)[ ] 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 871,000 7 SOLE DISPOSITIVE POWER EACH 0 REPORTING 8 SHARED DISPOSITIVE POWER PERSON 871,000 WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 871,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.0% 12 TYPE OF REPORTING PERSON* IN Page 3 of 9 CUSIP NO. 14844P 10 5 13G Page 4 of 9 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON LORETTA CASTLE 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] NONE (B)[ ] 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 871,000 7 SOLE DISPOSITIVE POWER EACH 0 REPORTING 8 SHARED DISPOSITIVE POWER PERSON 871,000 WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 871,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.0% 12 TYPE OF REPORTING PERSON* IN Page 4 of 9 CUSIP NO. 14844P 10 5 13G Page 5 of 9 Pages 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CASTLE INTERESTS, LTD. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (A)[ ] NONE (B)[ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS NUMBER OF 5 SOLE VOTING POWER SHARES 514,000 BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 EACH 7 SOLE DISPOSITIVE POWER REPORTING 514,000 8 SHARED DISPOSITIVE POWER PERSON 0 WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 514,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.3% 12 TYPE OF REPORTING PERSON* PN Page 5 of 9 ITEM 1(a) Name of Issuer: The name of the issuer is Castle Dental Centers, Inc. ITEM 1(b) Address of Issuer's Principal Executive Offices: The principal executive office of Castle Dental Centers, Inc. is 1360 Post Oak Boulevard, Suite 1300, Houston, Texas 77056. ITEM 2(a) Name of Person Filing: The reporting persons are Jack H. Castle, Jr.; Jack H. Castle, D.D.S.; Loretta Castle and Castle Interests, Ltd. (the "Reporting Persons"). ITEM 2(b) Address of Principal Business Office: The address of each Reporting Person is 1360 Post Oak Boulevard, Suite 1300, Houston, Texas 77056. ITEM 2(c) Citizenship: The citizenship of Jack H. Castle, Jr.; Jack H. Castle, D.D.S. and Loretta Castle is the United States. The place of organization of Castle Interests, Ltd. is Texas. ITEM 2(d) Title of Class of Securities: The class of securities of Castle Dental Centers, Inc. owned beneficially by the Reporting Persons is common stock, $.001 par value (the "Common Stock"). ITEM 2(e) CUSIP Number: 14844P 10 5 ITEM 3 Not applicable ITEM 4 Ownership. Page 6 of 9 (a) Amount Beneficially Owned: The amount of securities beneficially owned by Jack H. Castle, Jr.; Jack H. Castle, D.D.S.; Loretta Castle and Castle Interests, Ltd. is 1,228,000; 871,000; 871,000 and 514,000 shares of Common Stock, respectively. (b) Percent of Class: The percent of the class of Common Stock beneficially owned by Jack H. Castle, Jr.; Jack H. Castle, D.D.S.; Loretta Castle and Castle Interests, Ltd. is 19.7%; 14.0%; 14.0% and 8.3%, respectively. (c) Number of Shares and Voting Power: Jack H. Castle, Jr. has the sole power to vote or direct the vote and to dispose or direct the disposition of 714,000 shares of Common Stock and has the shared power to vote or direct the vote and to dispose or direct the disposition of 514,000 shares of Common Stock. Jack H. Castle, D.D.S. and Loretta Castle have the shared power to vote or direct the vote and to dispose or direct the disposition of 871,000 shares of Common Stock. Castle Interests, Ltd. has the sole power to vote or direct the vote and to dispose or direct the disposition of 514,000 shares of Common Stock. 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: Not applicable Page 7 of 9 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 13, 1998 /s/ JACK H. CASTLE, JR. Jack H. Castle, Jr. /s/ JACK H. CASTLE, D.D.S. Jack H. Castle, D.D.S. CASTLE INTERESTS, LTD. By: /s/ JACK H. CASTLE, JR. Jack H. Castle, Jr. General Partner /s/ JACK H. CASTLE, D.D.S. Jack H. Castle, D.D.S. General Partner /s/ LORETTA CASTLE Loretta Castle General Partner Page 8 of 9 EXHIBIT 1 AGREEMENT The undersigned reporting persons hereby agree that the statements filed pursuant to this Schedule 13 G dated February 13, 1998, to which this Agreement is filed as an exhibit, is filed on behalf of each of them. /s/ JACK H. CASTLE, JR. Jack H. Castle, Jr. /s/ JACK H. CASTLE, D.D.S. Jack H. Castle, D.D.S. CASTLE INTERESTS, LTD. By: /s/ JACK H. CASTLE, JR. Jack H. Castle, Jr. General Partner /s/ JACK H. CASTLE, D.D.S. Jack H. Castle, D.D.S. General Partner /s/ LORETTA CASTLE Loretta Castle General Partner Page 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----