-----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, PRUBHdjwVkhr5c2ZtAIrDcp/30MJzaPb8pgS/WGsZxUT2J3LvwSHmZhcSYiNZJCW LYa5OH2YWxnryMa8alq5WQ== 0001181431-04-017913.txt : 20040329 0001181431-04-017913.hdr.sgml : 20040329 20040329182813 ACCESSION NUMBER: 0001181431-04-017913 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040329 FILED AS OF DATE: 20040329 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH THOMAS W CENTRAL INDEX KEY: 0000926688 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13457 FILM NUMBER: 04697629 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 NAME: FORMER CONFORMED NAME: THOMAS W SMITH DATE OF NAME CHANGE: 19940713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PRESCOTT INVESTORS PROFIT SHARING TRUST CENTRAL INDEX KEY: 0001236421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13457 FILM NUMBER: 04697627 BUSINESS ADDRESS: STREET 1: C/O CURTIS MALLET PREVOST COLT & MOS STREET 2: 101 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10178 BUSINESS PHONE: 2126968874 MAIL ADDRESS: STREET 1: C/O CURTIS MALLET PREVOST COLT & MOS STREET 2: 101 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10178 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH THOMAS W FOUNDATION CENTRAL INDEX KEY: 0001236425 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13457 FILM NUMBER: 04697628 BUSINESS ADDRESS: STREET 1: C/O CURTIS MALLET PREVOST COLT & MOS STREET 2: 101 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10178 BUSINESS PHONE: 2126968874 MAIL ADDRESS: STREET 1: C/O CURTIS MALLET PREVOST COLT & MOS STREET 2: 101 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10178 4 1 rrd37922.xml REPORTING 3/25 AND 3/26 TRADES IN OCA BY TWS, PIIPS AND TWS FOUNDATION X0201 4 2004-03-29 0 0000931702 ORTHODONTIC CENTERS OF AMERICA INC /DE/ OCA 0000926688 SMITH THOMAS W 323 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 1 Member of Section 13(d) Group 0001236425 SMITH THOMAS W FOUNDATION 323 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 1 Member of Section 13(d) Group 0001236421 PRESCOTT INVESTORS PROFIT SHARING TRUST 323 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 1 Member of Section 13(d) Group Common Stock 2004-03-25 4 P 0 100000 7.25 A 2000000 D Common Stock 2004-03-26 4 P 0 42000 7.36 A 398870 I By Smith Family Accounts Common Stock 2004-03-26 4 P 0 2200 7.36 A 272200 I By Prescott Investors Profit Sharing Trust Common Stock 2004-03-26 4 P 0 15000 7.36 A 30000 I By Thomas W. Smith Foundation These shares are owned directly by Prescott Investors Profit Sharing Trust ("PIPS"), a member of a Section 13(d) Reporting Group, and indirectly by the Reporting Person as a trustee of PIPS. The Reporting Person disclaims beneficial ownership of these shares in excess of his interest under 16a-8(b)(2). The address for PIPS is 323 Railroad Avenue, Greenwich, CT 06830 These shares are owned directly by accounts established for the benefit of certain family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or any other purpose. These shares are owned directly by the Thomas W. Smith Foundation ("Foundation"), a member of a Section 13(d) Reporting Group, and indirectly by the Reporting Person as trustee of the Foundation. The Reporting Person disclaims beneficial ownership of these shares in excess of his interest under 16a-8(b)(2)(ii). The address for the Foundation is 323 Railroad Avenue, Greenwich, CT 06830 /s/ Thomas W. Smith, Individually and as trustee of Prescott Investors Profit Sharing Trust and the Thomas W. Smith Foundation 2004-03-29 -----END PRIVACY-ENHANCED MESSAGE-----