-----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, NvO51bxWsFQbx9cdq3OCn4LMS96Zfh3gcKUIZfyCtoLlDjifzs8MgsqT0Gv4jr+M 4m983pk/Xi0B/bNmgu/ygQ== 0000892251-08-000231.txt : 20081119 0000892251-08-000231.hdr.sgml : 20081119 20081119132203 ACCESSION NUMBER: 0000892251-08-000231 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20081119 DATE AS OF CHANGE: 20081119 GROUP MEMBERS: ALAN H. BUCKEY GROUP MEMBERS: CRAIG P.R. JOFFE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LCA VISION INC CENTRAL INDEX KEY: 0001003130 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-SPECIALTY OUTPATIENT FACILITIES, NEC [8093] IRS NUMBER: 112882328 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48601 FILM NUMBER: 081200363 BUSINESS ADDRESS: STREET 1: 7840 MONTGOMERY RD CITY: CINCINNATI STATE: OH ZIP: 45236 BUSINESS PHONE: 5137929292 MAIL ADDRESS: STREET 1: 7840 MONTGOMERY ROAD CITY: CINCINNATI STATE: OH ZIP: 45236 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JOFFE STEPHEN N CENTRAL INDEX KEY: 0001030711 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-NURSING & PERSONAL CARE FACILITIES [8050] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 7840 MONTGOMERY RD CITY: CINCINNATI STATE: OH ZIP: 45236 BUSINESS PHONE: 5137929292 MAIL ADDRESS: STREET 1: 7840 MONTGOMERY ROAD CITY: CINCINNATI STATE: OH ZIP: 45236 SC 13D/A 1 sc13dno1111908.htm SCHEDULE 13D/AMENDMENT NO. 1 sc13dno1111908.htm

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
SCHEDULE 13D
(Rule 13d-101)
 
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
 
RULE 13d-2(a)
 
(Amendment No.  1)
 
LCA-VISION INC
(Name of Issuer)
 
Common Stock
(Title of Class of Securities)


501803308
(CUSIP Number)
 
Mark A. Weiss, Esq.
Keating Muething & Klekamp PLL
One East Fourth Street, 14th Floor
Cincinnati, Ohio 45202
(513) 579-6599
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
October 28, 2008
(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box  o 

NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Sec.240.13d-7 for other parties to whom copies are to be sent.

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).



 
 

 


CUSIP No. 501803308
 
Page 2 of 12 Pages        
 1
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Stephen N. Joffe
 
 2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)    x
 
 3
SEC USE ONLY
 
 
 4
SOURCE OF FUNDS*
 
PF – See Item 3
 
 5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e)         o                                  
 
 
 6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. Citizen
 
 
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 7
SOLE VOTING POWER
 
 
 
 8
SHARED VOTING POWER
 
2,115,320
 
 9
SOLE DISPOSITIVE POWER
 
 
 
10
SHARED DISPOSITIVE POWER
 
2,115,320
 
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
2,115,320– See Item 5
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*       o
                                    
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
11.4% - See Item 5
 
14
TYPE OF REPORTING PERSON*
 
IN
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!
 

CUSIP No. 501803308
 
Page 3 of 12 Pages        
 1
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Craig P.R. Joffe
 
 2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)  x
(b)  o
 
 3
SEC USE ONLY
 
 
 4
SOURCE OF FUNDS*
 
PF – See Item 3
 
 5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e)    o
 
 
 6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. Citizen
 
 
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 7
SOLE VOTING POWER
 
 
 
 8
SHARED VOTING POWER
 
2,115,320
 
 9
SOLE DISPOSITIVE POWER
 
 
 
10
SHARED DISPOSITIVE POWER
 
2,115,320
 
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
2,115,320– See Item 5
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*    o
 
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
11.4% - See Item 5
 
14
TYPE OF REPORTING PERSON*
 
IN
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!
 

CUSIP No. 501803308
 
Page 4 of 12 Pages        
 1
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Alan H. Buckey
 
 2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)   x
(b)   o
 
 3
SEC USE ONLY
 
 
 4
SOURCE OF FUNDS*
 
PF – See Item 3
 
 5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e)    o
 
 
 6
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S. Citizen
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
 
 7
SOLE VOTING POWER
 
 
 
 8
SHARED VOTING POWER
 
2,115,320
 
 9
SOLE DISPOSITIVE POWER
 
 
 
10
SHARED DISPOSITIVE POWER
 
2,115,320
 
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
2,115,320– See Item 5
 
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*    o
 
 
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
11.4% - See Item 5
 
14
TYPE OF REPORTING PERSON*
 
IN
 
*SEE INSTRUCTIONS BEFORE FILLING OUT!

 
 

 

Explanatory Note
 
This Schedule 13D, as amended (“Schedule 13D”), relates to shares of Common Stock, $.001 par value (the “Shares”), of LCA-Vision Inc., a corporation organized under the laws of Delaware (the “Issuer”).  This statement is being filed by Stephen N. Joffe, Craig P.R. Joffe, and Alan H. Buckey (collectively, the “Reporting Persons”).  
 
This Amendment No. 1 to Schedule 13D (this “Amendment”) is being filed by the Reporting Persons solely to amend Item 4.
 
Item 4.  Purpose of Transactions.
 
Item 4 is amended to add the following:
 
On November 13, 2008, the Reporting Persons met with E. Anthony Woods, Chairman of the Board of the Issuer, and William F. Bahl, a member of the Board of Directors of the Issuer and Chairman of the Issuer’s Compensation Committee.  Consistent with the Reporting Persons’ investment purpose, the Reporting Persons discussed a variety of subjects with Mr. Woods and Mr. Bahl regarding concerns with the Issuer and its current business prospects and ways to potentially increase stockholder value.  Mr. Woods and Mr. Bahl indicated that the Issuer would be holding a Board meeting on or about November 17, 2008 and may respond to some of the Reporting Persons’ concerns following the Board meeting.  As of the date hereof, Mr. Woods and Mr. Bahl have not responded substantively to the Reporting Persons regarding some of the concerns and opportunities raised during the November 13, 2008 meeting.
 
The Reporting Persons intend to continue to maintain a dialogue with the independent members of the Issuer’s Board of Directors – including Mr. E. Anthony Woods, Mr. William F. Bahl, Mr. John Gutfreund and Mr. John Hassan - as well management of the Issuer.  In addition, the Reporting Persons intend to discuss with certain other significant stockholders of the Issuer the Issuer’s prospects, operations and management and Board composition, among other possible subjects regarding ways to turnaround the Company’s current performance and increase shareholder value.  In addition, the Reporting Persons may make recommendations to the Issuer designed to increase stockholder value.  Any recommendations may involve operational, management or Board composition changes (which may or may not include one or more of the Reporting Persons) or proposals designed to improve the Issuer’s corporate governance or recommendations regarding acquisitions or other strategic transactions.
 
Except as the foregoing may be deemed a present plan or proposal, no Reporting Person has any present plan or proposal which would relate to or result in any of the matters set forth in subparagraphs (a) - (j) of Item 4 of Schedule 13D.  The Reporting Persons may, at any time and from time to time, review or reconsider their position, and/or change their purpose or formulate or reformulate their plans or proposals with respect thereto.
 
[Remainder of page intentionally left blank; signature page follows.]
 


 
SIGNATURES
 
After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certify that the information set forth in this statement is true, complete and correct.
 
Dated:   November 19, 2008
 
     
       
 
 
*  
    Stephen N. Joffe  
       
       
     
       
 
 
*  
    Craig P.R. Joffe  
       
       
     
       
 
 
*  
    Alan H. Buckey  
       
       
     
       
 
 
/s/Mark A. Weiss  
    *By:  Mark A. Weiss, as Attorney-in-Fact  
       
       

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