0000950157-01-500717.txt : 20011030
0000950157-01-500717.hdr.sgml : 20011030
ACCESSION NUMBER: 0000950157-01-500717
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011026
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: 1767038
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
sc13da.txt
AMENDMENT NO. 3
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)
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 25, 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) [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.
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]
--------------------------------------------------------------------------------
13 Percent of Class Represented
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"), and Alcon Holdings Inc., a Delaware
corporation ("Parent" and, together with Summit, the "Reporting Persons"),
hereby amend and supplement the statement on Schedule 13D originally filed by
Summit on August 28, 1997, as amended by Amendment Nos. 1 and 2 thereto (the
"Statement"), relating to shares of Common Stock, par value $.001 per share
(the "Common Stock"), 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 4. Purpose of Transaction.
Item 4 is hereby amended and supplemented by adding the following:
On October 25, 2001, Summit received a letter from the Issuer
declining Summit's offer to sell to the Issuer 6,602,226 shares of Common
Stock of the Issuer held by Summit (the "Shares") at a price of $1.49 per
Share.
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 25, 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