UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
ORTHODONTIC CENTERS OF AMERICA, INC.
(Name of Issuer)
Common Stock, $.01 par value
(Title of Class of Securities)
68750P 10 3
(CUSIP Number)
October 11, 2002
(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 1,233,720
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 4,399,200
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 1,233,720
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 4,399,200
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,632,920
________________________________________________________________________________
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
11.0%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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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 4,399,200
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING 0
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 4,399,200
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,399,200
________________________________________________________________________________
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
8.6%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
IN
________________________________________________________________________________
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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ITEM 1 (a). Name of Issuer:
Orthodontic Centers of America, Inc.
(b). Address of Issuer's Principal Executive Offices:
3850 North Causeway Boulevard
Suite 1040
Matairie Louisiana 70002
Item 2 (a). Name of Person Filing:
(i) Thomas W. Smith
(ii) Thomas N. Tryforos
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.
(b). Address of Principal Business Office, or if None, Residence:
The following is the address of the principal business office of
each of the filing persons:
323 Railroad Avenue
Greenwich, CT 06830
(c). Citizenship:
Each of Messrs. Thomas W. Smith and Thomas N. Tryforos 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 rule 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|
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ITEM 4. Ownership
(a) Thomas W. Smith - 5,632,920 shares; Thomas N. Tryforos -
4,399,200 shares
(b) Thomas W. Smith - 11.0%; Thomas N. Tryforos - 8.6%
(c) Each of Thomas W. Smith and Thomas N. Tryforos has shared
power to vote or to direct the vote and shared power to
dispose or to direct the disposition of 4,399,200 shares;
Thomas W. Smith has sole power to vote and dispose of
1,233,720 shares, and Thomas N. Tryforos has the sole power to
vote and dispose of no shares.
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 and Tryforos in the aggregate beneficially own
4,832,920 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.
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.
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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: October 16, 2002
/s/ Thomas W. Smith
------------------------------------
Thomas W. Smith
/s/ Thomas N. Tryforos
------------------------------------
Thomas N. Tryforos
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JOINT FILING AGREEMENT
The undersigned agree that the foregoing Statement on Schedule 13G, dated
October 16, 2002, is being filed with the Securities and Exchange Commission on
behalf of each of the undersigned pursuant to Rule 13d-1(k)
Dated: October 16, 2002
/s/ Thomas W. Smith
------------------------------------
Thomas W. Smith
/s/ Thomas N. Tryforos
------------------------------------
Thomas N. Tryforos
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