0000950157-01-500673.txt : 20011019
0000950157-01-500673.hdr.sgml : 20011019
ACCESSION NUMBER: 0000950157-01-500673
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: 1760479
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: ALCON HOLDINGS INC
CENTRAL INDEX KEY: 0001115220
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: C/O CRAVATH SWAINE & MOORE
STREET 2: 6201 SOUTH FREEWAY
CITY: FORT WORTH
STATE: TX
ZIP: 76134-2099
BUSINESS PHONE: 6175518693
MAIL ADDRESS:
STREET 1: C/O CRAVATH SWAINE & MOORE
STREET 2: 6201 SOUTH FREEWAY
CITY: FORT WORTH
STATE: TX
ZIP: 76134-2099
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