-----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, RYguZ2tMLNJJl8sWNJmXFV77o9OTgnlhpUD5zWJ18AuaLQhx/lopZP9AbzzlZAca pHeqsqNGvize5lq7gdBq9g== 0000899140-99-000175.txt : 19990217 0000899140-99-000175.hdr.sgml : 19990217 ACCESSION NUMBER: 0000899140-99-000175 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52917 FILM NUMBER: 99542440 BUSINESS ADDRESS: STREET 1: 1360 POST OAK BLVD STREET 2: STE 1300 CITY: HOUSTON STATE: TX ZIP: 77056 BUSINESS PHONE: 7134798000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PECKS MANAGEMENT PARTNERS LTD /ADV CENTRAL INDEX KEY: 0000865599 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 113015963 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1 ROCKEFELLER PLAZA STREET 2: STE 900 CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2123321333 FORMER COMPANY: FORMER CONFORMED NAME: PECKS MANAGEMENT PARTNERS LTD /NY/ /ADV DATE OF NAME CHANGE: 19960909 SC 13G/A 1 AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Castle Dental Centers --------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 14844P105 --------- (CUSIP Number) December 31, 1998 ----------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] 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 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). Page 1 of 4 Pages - ---------------------------- ------------------ CUSIP No. 14844P105 13G Page 2 of 4 Pages - ---------------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Pecks Management Partners Ltd. 11-3015963 - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] Not applicable - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 913,243 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY Not applicable OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 913,243 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER Not applicable - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 913,243 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] Not applicable - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.51 - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA - ---------- --------------------------------------------------------------------- Item 1(a): Name of Issuer: - ---------- --------------- Castle Dental Centers, Inc. Item 1(b): Address of Issuer's Principal Executive Offices: - ---------- ------------------------------------------------ 1360 Post Oak Boulevard Suite 1300 Houston, TX Item 2(a) Name of Person Filing - --------- --------------------- Pecks Management Partners Ltd. Item 2(b): Address of Principal Business Office: - ---------- ------------------------------------- One Rockefeller Plaza, Suite 900, New York, New York 10020 Item 2(c): Citizenship: - ---------- ------------ New York Item 2(d): Title of Class of Securities: - ---------- ----------------------------- Common Stock Item 2(e): CUSIP Number: - ---------- ------------- 14844P105 Item 3: If the reporting person is an investment adviser in - ------- accordance with ss. 240.13d-1(b)(1)(ii)(E), check this box. [X] Item 4: Ownership: - ------- ---------- (a) Amount beneficially owned: 913,243 shares (b) Percent of class: 14.51% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 913,243 (ii) Shared power to vote or to direct the vote: none (iii) Sole power to dispose or to direct the disposition of: 913,243 (iv) Shared power to dispose or to direct the disposition of: none Item 5: Ownership of Five Percent or Less of a Class: - ------- --------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ] Page 3 of 4 Pages Item 6: Ownership of More than Five Percent on Behalf of - ------- ------------------------------------------------ Another Person: --------------- Shares as to which this schedule is filed are owned by three investment advisory clients of the person filing this schedule, which clients receive dividends and the proceeds from the sale of such shares. One such client is known to have such interest with respect to more than 5% of the class and such client is named below. Delaware State Employees' Retirement Fund 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 in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. Dated: February 9, 1999 By: /s/ Arthur W. Berry ------------------------- Name: Arthur W. Berry Title: Managing Director Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----