Source Site (EDGAR): 424B1

Excerpt From:
KERAVISION INC /CA/
Form: 424B1   Filing Date: 8/13/99
<DOCUMENT> <TYPE>424B1 <SEQUENCE>1 <DESCRIPTION>FINAL PROSPECTUS DATED 08/12/1999 <TEXT> Common stock The following table sets forth the beneficial ownership of KeraVision's common stock as of June 30, 1999 for: . each person who is known by KeraVision to beneficially own more than five percent of our common stock; . each of our directors and named executive officers; . all directors and executive officers as a group. Unless otherwise indicated in the table, the address of each stockholder identified in the table is 48630 Milmont Drive, Fremont, California 94538. Each percent of ownership assumes that, in addition to the 14,078,476 shares actually outstanding on June 30, 1999, any shares of common stock covered by an option, warrant or other convertible security owned by the stockholder that could be issued within 60 days, but no other stockholder, were also outstanding. Information with respect to beneficial ownership provided in the following table is based upon information furnished by each director and officer or contained in filings made with the Securities and Exchange Commission. 39 <PAGE> <TABLE> <CAPTION> Number beneficially Percent held Name and Address held <S> <C> <C> Goldman Sachs & Co(1)............................... 1,454,139 10.3% 85 Broad Street New York, NY 10004 Entities affiliated with Donaldson, Lufkin & Jenrette, Inc.(2) ................................. 1,649,070 10.5% 3000 Sand Hill Road Menlo Park, CA 94025 Sprout Capital VIII, L.P. .......................... 1,347,264 8.7% 3000 Sand Hill Road Menlo Park, CA 94025 Charles Crocker(3).................................. 176,943 1.3% Darlene E. Crockett-Billig(4)....................... 141,037 1.0% Mark Fischer-Colbrie(5)............................. 104,118 * Lawrence A. Lehmkuhl(6)............................. 27,000 * Thomas M. Loarie.................................... 491,733 3.5% Kshitij Mohan(7).................................... 5,000 * Edward R. Newill.................................... 1,834 * Arthur M. Pappas(8)................................. 27,000 * Thomas A. Silvestrini(9)............................ 200,867 1.4% Peter L. Wilson(10)................................. 14,500 * All directors and officers as a group (14 persons)(11)................................... 1,221,877 8.6% </TABLE> --------------------- * Less than 1% (1) On August 10, 1999, Goldman Sachs & Co. filed a Schedule 13G/A reporting current beneficial ownership of 772,644 shares of common stock, representing 5.5% of the outstanding common stock. (2) Includes shares issuable upon the conversion of Series B preferred stock held by DLJ Capital Corporation, Sprout Capital VIII, L.P., Sprout CEO Fund, L.P., Sprout Venture Capital, L.P. and DLJ ESC II, L.P. DLJ Capital Corporation is the managing general partner of Sprout Capital VIII, L.P., and the general partner of the Sprout CEO Fund, L.P. and Sprout Venture Capital, L.P. Donaldson, Lufkin & Jenrette, Inc. directly owns all of the capital stock of DLJ Capital Corporation and is the ultimate parent of the manager of DLJ ESC II, L.P., and, as such, may be deemed to beneficially own indirectly all the shares held by DLJ Capital Corporation and DLJ ESC II, L.P. As of March 31, 1999, the Equitable Companies Incorporated beneficially owned directly and indirectly, 71.3% of Donaldson, Lufkin & Jenrette, and, as such, may be deemed to beneficially own indirectly the shares held by DLJ Capital Corporation and DLJ ESC II, L.P. (3) Shares attributable to Mr. Crocker include 55,215 shares held by Fund FBO Charles Crocker. Includes 10,000 shares issuable upon options exercisable within 60 days. (4) Includes 31,267 shares issuable upon options exercisable within 60 days. (5) Includes 27,501 shares issuable upon options exercisable within 60 days. (6) Includes 10,000 shares issuable upon options exercisable within 60 days. (7) Represents 5,000 shares issuable upon options exercisable within 60 days. (8) Includes 5,000 shares issuable upon options exercisable within 60 days. (9) Includes 2,975 shares issuable upon options exercisable within 60 days. (10) Includes 2,500 shares issuable upon options exercisable within 60 days. (11) Shares attributable to directors and officers as a group include 126,088 shares issuable upon options exercisable within 60 days. </text></document></plaintext> </body></html>