-----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, JdjzhJHOpnmjhI10et9i21UhWgikwIxFQmfE3pwDKEKxAMgCcLJaaB7dyRIo9Ns6 3/XBjBgLeIXYYCzWLIOnMw== 0000906318-98-000019.txt : 19980331 0000906318-98-000019.hdr.sgml : 19980331 ACCESSION NUMBER: 0000906318-98-000019 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980330 SROS: NASD 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 13G/A SEC ACT: SEC FILE NUMBER: 005-48601 FILM NUMBER: 98579127 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 13G/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 13G/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 LCA-Vision Inc. _________________________________________________________________ (Name of Issuer) Common _________________________________________________________________ (Title of Class of Securities) 501803209 ____________________________ (CUSIP Number) Check the following box if a fee is being paid with this statement ___. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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 3 pages CUSIP NO. 501803209 -------- 13G _______________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Stephen N. Joffe _______________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a)_____ Not Applicable (b)_____ _______________________________________________________________________________ 3 SEC USE ONLY _______________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. _______________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF 11,377,950 SHARES ____________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,000 ____________________________________________________________ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 11,377,950 ____________________________________________________________ 8 SHARED DISPOSITIVE POWER 1,000 _______________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 16,524,330 shares* _______________________________________________________________________________ 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 43.5% _______________________________________________________________________________ 10 TYPE OF REPORTING PERSON * IN _______________________________________________________________________________ * SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 3 pages SCHEDULE 13G -Stephen N. Joffe- Item 1. (a) Name of Issuer LCA-Vision Inc. (b) Address of Issuer's Principal Executive Offices 7840 Montgomery Road Cincinnati, OH 45236 Item 2. (a) Name of Person Filing Stephen N. Joffe (b) Address of Principal Business Office or, if none, Residence 7840 Montgomery Road Cincinnati, OH 45236 (c) Citizenship U.S. (d) Title of Class of Securities Common Stock (e) CUSIP Number 501803 209 Item 3. N/A Item 4. Ownership (a) Amount Beneficially Owned 16,524,330 shares* *Total consists of 11,378,950 shares owned outright by Dr. Joffe, and 3,852,649 shares which are owned by his wife, Sandra F.W. Joffe, for whom a 13G is being filed under separate cover. 1000 of the total number of shares are jointly owned by Dr. Joffe and his wife. Total also includes 1,129,448 shares of Common Stock into which Dr. Joffe may convert, at any time, his 11 shares of Interim Series Class B Preferred Stock and 164,283 shares of Common Stock into which Mrs. Joffe may convert, at any time, her 1.6 shares of Interim Series Class B Preferred Stock. (b) Percent of Class 43.5% of Common Stock, .001 par value per share* *Total percentage includes the Common Stock into which Dr. and Mrs. Joffe would receive upon the conversion of their 12.6 shares of Interim Series Class B Preferred Stock. (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote 11,377,950 (ii) Shared power to vote or to direct the vote 1,000 (iii) Sole power to dispose or to direct the disposition of 11,377,950 (iv) Shared power to dispose or to direct the disposition of 1,000 Item 5. N/A Item 6. N/A Item 7. N/A Item 8. N/A Item 9. N/A Item 10. N/A 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 3/25/98 Stephen N. Joffe /s/ Stephen N. Joffe Signature -----END PRIVACY-ENHANCED MESSAGE-----