0000950157-01-500671.txt : 20011019 0000950157-01-500671.hdr.sgml : 20011019 ACCESSION NUMBER: 0000950157-01-500671 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011017 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: 1760477 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: SUMMIT AUTONOMOUS INC CENTRAL INDEX KEY: 0000813902 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 042897945 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 21 HICKORY DR CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 7818901234 MAIL ADDRESS: STREET 1: 21 HICKORY DR STREET 2: 21 HICKORY DR CITY: WALTHAM STATE: MA ZIP: 02451 FORMER COMPANY: FORMER CONFORMED NAME: SUMMIT TECHNOLOGY INC DATE OF NAME CHANGE: 19920703 SC 13D/A 1 schedule13d_a.txt SCHEDULE 13D AMENDMENT SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) LCA-Vision Inc. -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.001 per share -------------------------------------------------------------------------------- (Title of Class of Securities) 501803 20 9 -------------------------------------------------------------------------------- (CUSIP Number) Elaine E. Whitbeck, Esq. Alcon Holdings Inc. 6201 South Freeway Fort Worth, Texas 76134-2099 (817) 551-8693 Copy to: Alan C. Stephenson, Esq. Cravath, Swaine & Moore Worldwide Plaza 825 Eighth Avenue New York, New York 10019 (212) 474-1000 -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 10, 2001 -------------------------------------------------------------------------------- (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 ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. /_/ NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. * 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 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). (Continued on following pages) CUSIP No. 501803 20 9 -------------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) SUMMIT AUTONOMOUS INC. IRS. No.: 04-2897945 -------------------------------------------------------------------------------- Check the Appropriate Box if a Member of a Group (See Instructions) 2 (a)/_/ (b)/x/ -------------------------------------------------------------------------------- 3 SEC Use Only -------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) -------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) /_/ -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Massachusetts -------------------------------------------------------------------------------- 7 Sole Voting Power 6,602,226* --------------------------------------------------------- Number of 8 Shared Voting Power Shares 17,172,120** Beneficially --------------------------------------------------------- Owned by Each 9 Sole Dispositive Power Reporting 6,602,226 Person with --------------------------------------------------------- 10 Shared Dispositive Power 0 -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 6,602,226 -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) /_/ -------------------------------------------------------------------------------- Percent of Class Represented 13 by Amount in Row (11) 14.2% -------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) CO -------------------------------------------------------------------------------- ------------------------------ * On all matters other than election of directors. ** For purposes of election of directors only and for no other purpose. Summit Autonomous Inc., however, disclaims beneficial ownership of 10,569,894 of these Shares. See the response to Item 5 of this Schedule 13D. CUSIP No. 501803 20 9 -------------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) ALCON HOLDINGS INC. IRS. No.: 75-2880536 -------------------------------------------------------------------------------- Check the Appropriate Box if a Member of a Group (See Instructions) 2 (a)/_/ (b)/x/ -------------------------------------------------------------------------------- 3 SEC Use Only -------------------------------------------------------------------------------- 4 Source of Funds (See Instructions) -------------------------------------------------------------------------------- 5 Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) /_/ -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Delaware -------------------------------------------------------------------------------- 7 Sole Voting Power 6,602,226*** --------------------------------------------------------- Number of 8 Shared Voting Power Shares 17,172,120**** Beneficially --------------------------------------------------------- Owned by Each 9 Sole Dispositive Power Reporting 6,602,226 Person with --------------------------------------------------------- 10 Shared Dispositive Power 0 -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 6,602,226 -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) /x/ -------------------------------------------------------------------------------- Percent of Class Represented 13 by Amount in Row (11) 14.2% -------------------------------------------------------------------------------- 14 Type of Reporting Person (See Instructions) CO -------------------------------------------------------------------------------- ------------------------------ *** On all matters other than election of directors. **** For purposes of election of directors only and for no other purpose. Alcon Holdings Inc., however, disclaims beneficial ownership of 10,569,894 of these Shares. See the response to Item 5 of this Schedule 13D. Summit Autonomous Inc., a Massachusetts corporation (formerly known as Summit Technology, Inc.) ("Summit"), Alcon Holdings Inc., a Delaware corporation ("Parent"), and Nestle S.A., a Swiss corporation ("Nestle" and, together with Summit and Parent, the "Reporting Persons"), hereby amend and supplement the statement on Schedule 13D originally filed by Summit on August 28, 1997, as amended by Amendment No. 1 thereto (the "Statement"), relating to shares of Common Stock, par value $.001 per share, of LCA-Vision Inc., a Delaware corporation (the "Issuer"). Capitalized terms used and not otherwise defined herein have the meanings assigned thereto in the Statement. ITEM 2. IDENTITY AND BACKGROUND. Item 2 is hereby amended to read in its entirety as follows: Summit is a wholly owned subsidiary of Parent, which is a wholly owned subsidiary of Nestle. Summit is engaged in the manufacture and supply of excimer laser systems and related products used to perform procedures that correct common refractive vision disorders such as nearsightedness, farsightedness and astigmatism. Parent is a holding company. Parent's principal operating subsidiary is Alcon Laboratories, Inc., which, together with three Texas limited partnerships of which it is the general partner, is engaged in the business of researching, developing, manufacturing and marketing ophthalmic products including surgical instruments and accessory products, intraocular lenses, prescription drugs and contact lens care solutions. The principal office of Summit and Parent is located at 6201 South Freeway, Fort Worth, Texas 76134-2099, telephone number (817) 293-0450. Parent is a wholly owned subsidiary of Nestle. Nestle's subsidiaries manufacture and sell food and beverage products throughout the world, engage in research and development activities, manufacture and sell cosmetic products, and develop, manufacture and sell pharmaceutical products. The address of Nestle's principal office is Avenue Nestle 55, CH-1800 Vevey, Switzerland. The name, present business address, present principal occupation and citizenship of each of the directors and executive officers of Summit, Parent and Nestle are set forth in Schedule I hereto. None of the Reporting Persons nor, to the best knowledge of the Reporting Persons, any person listed in Schedule I, has been convicted during the last five years in a criminal proceeding (excluding traffic violations or similar misdemeanors) or was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 4. PURPOSE OF TRANSACTION. Item 4 is hereby amended and supplemented by adding the following: On October 10, 2001, Summit requested that the Issuer file a shelf registration statement covering the 6,602,226 shares of Common Stock held by Summit (the "Shares") for an offering to be made on a continuing basis. In accordance with the Registration Rights Agreement dated August 18, 1997 (the "Registration Rights Agreement") between the Issuer and Summit, Summit also offered to sell the Shares to the Issuer, at a closing to occur on October 31, 2001, at a price of $1.49 per Share, which represents the average closing price of the stock for the 30 day period preceding the date of the offer, less any commissions that would be applicable if Summit were to sell the Shares through a broker or placement agent (the "Offer"). In accordance with the Registration Rights Agreement, if the Issuer desires to purchase the Shares on terms and conditions in the Offer, it must notify Summit within 15 days after submission of the Offer, or no later than October 25, 2001. If the Issuer fails to respond within this time period, or declines to purchase the Shares, Summit will be free to dispose of the Shares pursuant to the shelf registration statement or in any other manner it deems appropriate, consistent with the provisions of the Registration Rights Agreement. 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, 2001 SUMMIT AUTONOMOUS INC., by: /s/ Elaine E. Whitbeck ---------------------------------------- Name: Elaine E. Whitbeck Title: Vice President and Clerk ALCON HOLDINGS INC., by: /s/ Elaine E. Whitbeck --------------------------------------- Name: Elaine E. Whitbeck Title: Vice President and Secretary SCHEDULE I

ALCON HOLDINGS INC. EXECUTIVE OFFICERS AND DIRECTORS Name Present Business Address Present Principal Occupation Citizenship ---- ------------------------ ---------------------------- ----------- Timothy R. G. Sear Alcon Holdings Inc. Director, Chairman of the United 6201 South Freeway Board, Chief Executive Kingdom Fort Worth, Texas 76134 Officer and President Charles E. Miller, Sr. Alcon Holdings Inc. Director, Chief Financial United States 6201 South Freeway Officer and Senior Vice Fort Worth, Texas 76134 President Gerald D. Cagle Alcon Holdings Inc. Director and Senior Vice United States 6201 South Freeway President, Research and Fort Worth, Texas 76134 Development Gareth E. Glaser Alcon Holdings Inc. Vice President, U.S. Taxes United States 6201 South Freeway and Associate General Tax Fort Worth, Texas 76134 Counsel David A. Bass Alcon Holdings Inc. Treasurer United States 6201 South Freeway Fort Worth, Texas 76134 Elaine E. Whitbeck Alcon Holdings Inc. Vice President and Secretary United States 6201 South Freeway Fort Worth, Texas 76134 Dwight D. Horton Alcon Holdings Inc. Vice President, Finance, U.S United States 6201 South Freeway Operations Fort Worth, Texas 76134 Bradford W. Kling Alcon Holdings Inc. Vice President, Corporate United States 6201 South Freeway Audit Fort Worth, Texas 76134

SUMMIT AUTONOMOUS INC. EXECUTIVE OFFICERS AND DIRECTORS Name and Title Present Business Address Present Principal Occupation Citizenship -------------- ------------------------ ---------------------------- ----------- Timothy R. G. Sear Alcon Holdings Inc. (see above) United Director, Chief 6201 South Freeway Kingdom Executive Officer and Fort Worth, Texas 76134 President Charline A. Gauthier, Alcon Holdings Inc. Vice President/General United States O.D., Ph.D. 6201 South Freeway Manager, Orlando Vice President/General Fort Worth, Texas 76134 Operations Manager, Orlando Operations Dwight D. Horton Alcon Holdings Inc. (see above) United States Vice President, 6201 South Freeway Finance Fort Worth, Texas 76134 Elaine E. Whitbeck Alcon Holdings Inc. (see above) United States Vice President and 6201 South Freeway Clerk Fort Worth, Texas 76134 David A. Bass Alcon Holdings Inc. (see above) United States Treasurer 6201 South Freeway Fort Worth, Texas 76134 Charles E. Miller, Sr. Alcon Holdings Inc. (see above) United States Director 6201 South Freeway Fort Worth, Texas 76134

NESTLE S.A. EXECUTIVE OFFICERS AND DIRECTORS Name Present Business Address Present Principal Occupation Citizenship ---- ------------------------ ---------------------------- ----------- Executive Officers ------------------ Peter Brabeck-Letmathe Nestle S.A. Chief Executive Officer Austria Avenue Nestle 55 CH-1800 Vevey Switzerland Wolfgang Nestle S.A. Executive Vice President Austria/ Reichenberger Avenue Nestle 55 Finance/Control Switzerland CH-1800 Vevey Switzerland Francisco Castaner Nestle S.A. Executive Vice President Spain Avenue Nestle 55 Pharma & Cosmetics CH-1800 Vevey Human Resources Switzerland Corporate Affairs Michael W.O. Garrett Nestle S.A. Executive Vice President Austria/ Avenue Nestle 55 Zone AOA United CH-1800 Vevey Kingdom Switzerland Rupert Gasser Nestle S.A. Executive Vice President Switzerland/ Avenue Nestle 55 Technical, Production, Austria CH-1800 Vevey R&D Switzerland Lars Olofsson Nestle S.A. Executive Vice President Sweden Avenue Nestle 55 Zone EUR CH-1800 Vevey Switzerland Carlos E. Represas Nestle S.A. Executive Vice President Mexico Avenue Nestle 55 Zone AMS CH-1800 Vevey Switzerland Frank Cella Nestle S.A. Executive Vice President United States Avenue Nestle 55 Strategic Business Units CH-1800 Vevey Marketing Switzerland

Name Present Business Address Present Principal Occupation Citizenship ---- ------------------------ ---------------------------- ----------- Directors --------- Rainer E. Gut Nestle S.A. Chairman of the Board of Switzerland En Bergere Nestle S.A. CH-1800 Vevey Switzerland Peter Brabeck-Letmathe Nestle S.A. Chief Executive Officer of Austria Avenue Nestle 55 Nestle S.A. CH-1800 Vevey Switzerland Peter Boeckli Boeckli Bodmer & Partner Lawyer, Law Professor Switzerland Case postale 2348 CH-4002 Basel Arthur Dunkel 6-4 Boulevard du Theatre Professor and Consultant Switzerland CH-1024 Geneve Jean-Pierre Meyers L'Oreal Director of L'Oreal France 41, Rue Matre F-92117 Clichy-Cedex France Stephan Schmidheiny Anova Holding S.A. Chairman of the Board of Switzerland Hurdnerstrasse10 Anova Holding S.A. CH-8640 Hurden Switzerland Vreni Spoerry Claridenstrasse 3 Member of Swiss Parliament Switzerland CH-8810 Horgen Switzerland Lord Simpson Marconi plc Chief Executive of Marconi plc United One Bruton Street Kingdom GB-London W1X 8AQ Nobuyuki Idei Sony Corporation Chairman and Chief Executive Japan 6-7-35 Kitashinagawa Officer of Sony Corporation Shinagawa-ku Tokyo, Japan 141-0001 Andre Kudelski Kudelski S.A. Chairman of Kudelski S.A. Switzerland Route de Geneve Case postale 134 CH-1033 Cheseaux