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