-----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, P5BpoCaqKz/cOMZYnmTWjrgUrQM92IzgUOchq024CPzIi0KZLZzkRy1Sduj5QqVO /CAiu8oF1AiZBTHfYMaB2w== 0000950135-97-003647.txt : 19970912 0000950135-97-003647.hdr.sgml : 19970911 ACCESSION NUMBER: 0000950135-97-003647 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970818 FILED AS OF DATE: 19970828 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LCA VISION INC CENTRAL INDEX KEY: 0001003130 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-NURSING & PERSONAL CARE FACILITIES [8050] IRS NUMBER: 112882328 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-27610 FILM NUMBER: 97671551 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 COMPANY DATA: COMPANY CONFORMED NAME: SUMMIT TECHNOLOGY INC CENTRAL INDEX KEY: 0000813902 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] OWNER IRS NUMBER: 042897945 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 21 HICKORY DR CITY: WALTHAM STATE: MA ZIP: 02154 BUSINESS PHONE: 6178901234 MAIL ADDRESS: STREET 1: SUMMIT TECHNOLOGY INC STREET 2: 21 HICKORY DR CITY: WALTHAM STATE: MA ZIP: 02154 3 1 LCA-VISION INC. ON BEHALF OF SUMMIT TECHNOLOGY 1
U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* 2. Date of Event Requiring Statement (Month/Day/Year) SUMMIT TECHNOLOGY, INC. - ----------------------------------------------------- 8/18/97 (Last) (First) (Middle) 21 Hickory Drive - ----------------------------------------------------------------------------------------------------------- (Street) 3. IRS or Social Security Number of Reporting Person Waltham MA 02154 (Voluntary) - ----------------------------------------------------- (City) (State) (Zip) 04-2897945 - ----------------------------------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol LCA-VISION INC. (LCAV) - ----------------------------------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer 6. If Amemdment, Date of Original (Check all applicable) (Month/Day/Year) [ ] Director [X]10% Owner -------------------------------------------- 7. Individual or Joint/Group Filing [ ] Officer (give title [ ] Other (specify (Check applicable line) below) below) [X] Form filed by One Reporting Person ------------------------------- [ ] Form filed by More than One Reporting Person
- ----------------------------------------------------------------------------------------------------------- Table 1. Non-Derivative Securities Beneficially Owned - ----------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficially Owned Form: Direct (D) Beneficial Ownership (Instr. 4) or Indirect (I) (Instr. 5) (Instr. 5) - ----------------------- -------------------------- ----------------------- ------------------------------ Common Stock 16,164,361 D N/A - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ - ----------------------- -------------------------- ----------------------- ------------------------------ * If the Form is filed by more than one Reporting Person, see instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses)
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FORM 3 (continued) Table II--Derivative Securities Beneficially Owned (e.g. puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect Security (Instr.4) cisable and Underlying Derivative Security sion or ship Beneficial Onwership Expiration (Instr. 4) Exercise Form of (Instr. 5) Date Price of Deriva- (Month/Day/ Deri- tive Year) vative Security: -------------------------------------------------- Security Direct Date Expira- Amount (D) or Exer- tion Title or Indirect cisable Date Number (I) of (Instr. 5) Shares - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- ----------------------- - ------------------------- -------- ------- -------------------------- -------- ------------- -------------- -----------------------
Explanation of Reponses: By:/s/ Robert J. Palmisano SUMMIT TECHNOLOGY, INC. August 28, 1997 ----------------------------------------------- --------------- ** Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----