UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1 )*
Keravision, Inc.
----------------
(Name of Issuer)
Common Stock, $.001 par value
-----------------------------
(Title of Class of Securities)
4920611
-------
(CUSIP Number)
*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 the
disclosures provided in a prior cover page.
The information required in 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).
Page 1 of 16 pages
CUSIP NO. 4920611 13G PAGE 2 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aspen Venture Partners, L.P.
04-3266983
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Jersey, Channel Islands limited partnership
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
-0- shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON --0-- shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
969,167 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.80%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
PN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 16 pages
CUSIP NO. 4920611 13G PAGE 3 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Aspen Venture Associates, L.P.
04-3128426
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware limited partnership
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
--0--shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON --0--shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
969,167 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.80%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
PN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 3 of 16 pages
CUSIP NO. 4920611 13G PAGE 4 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Michael J.F. DuCros
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
3,979 shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 3,979 shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
973,146 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.83%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 4 of 16 pages
CUSIP NO. 4920611 13G PAGE 5 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Alexander P. Cilento
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
6,929 shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 6,929 shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
976,096 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.85%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 5 of 16 pages
CUSIP NO. 4920611 13G PAGE 6 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
E. David Crockett
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
4,529 shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 4,529 shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
973,696 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.83%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 6 of 16 pages
CUSIP NO. 4920611 13G PAGE 7 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Allan R. Ferguson
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
-0- shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 973,696 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON -0- shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
973,696 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
973,696 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.83%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 7 of 16 pages
CUSIP NO. 4920611 13G PAGE 8 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Michael A. Henos
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
7,029 shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 7,029 shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
976,196 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.85%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 8 of 16 pages
CUSIP NO. 4920611 13G PAGE 9 OF 16 PAGES
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Nicholas A. Papantonis
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- ------ -------------------------------------------------------------------------
- ------------------------- --- --------------------------------------------------
5 SOLE VOTING POWER
4,329 shares
NUMBER OF
--- --------------------------------------------------
--- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 969,167 shares
--- --------------------------------------------------
--- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 4,329 shares
--- --------------------------------------------------
--- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
969,167 shares
- ------------------------- --- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
973,496 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.83%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 9 of 16 pages
ITEM 1 (A). NAME OF ISSUER:
Keravision, Inc.
ITEM 1 (B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
48630 Milmont Drive, Fremont, CA 94538
ITEM 2 (A). NAME OF PERSON FILING:
Aspen Venture Partners, L.P. ("Aspen"), Aspen Venture
Associates, L.P. ("AVA"), Alexander P. Cilento ("Cilento"), E.
David Crockett ("Crockett"), Michael J.F. DuCros ("DuCros"),
Allan R. Ferguson ("Ferguson"), Michael A. Henos ("Henos") and
Nicholas A. Papantonis ("Papantonis"). Cilento, Crockett,
DuCros, Ferguson, Henos and Papantonis are the general
partners of AVA, the sole general partner of Aspen.
ITEM 2 (B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
The address of the principal business office of each of Aspen,
AVA, Cilento, Crockett, DuCros, Ferguson, Henos and Papantonis
is One Post Office Square, Suite 3320, Boston, MA 02109.
ITEM 2 (C). CITIZENSHIP:
Aspen is a limited partnership organized under the laws of
Jersey, Channel Islands. AVA is a limited partnership
organized under the laws of the State of Delaware. Messrs.
Cilento, DuCros, Ferguson, Henos and Papantonis and Dr.
Crockett are United States citizens.
ITEM 2 (D). TITLE OF CLASS OF SECURITIES:
Common Stock, $.001 par value
ITEM 2 (E). CUSIP NUMBER
4920611
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B) OR
13D-2(B), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or Dealer registered under Section 15
of the Securities Exchange Act of 1934 (the
"Act").
(b) [ ] Bank as defined in Section 3(a)(6) of the
Act.
(c) [ ] Insurance Company as defined in Section
3(a)(19) of the Act.
(d) [ ] Investment Company registered under Section
8 of the Investment Company Act of 1940.
(e) [ ] Investment Advisor registered under Section
203 or the Investment Advisors Act of 1940.
Page 10 of 16 pages
(f) [ ] Employee Benefit Plan, Pension Fund which is
subject to the provisions of the Employee
Retirement Income Security Act of 1974 or
Endowment Fund; see Rule 13d-1(b)(1)(ii)(F)
of the Act.
(g) [ ] Parent Holding Company, in accordance with
Rule 13d-1(b)(ii)(G) of the Act.
(h) [ ] Group, in accordance with Rule
13a-1(b)(1)(ii)(H) of the Act.
NOT APPLICABLE
ITEM 4. OWNERSHIP:
(a) Amount Beneficially Owned:
Aspen owns beneficially and of record 969,167 shares
of Common Stock of Keravision, Inc. as of December
31, 1996. AVA, the general partner of Aspen, may be
deemed to own beneficially the 969,167 shares of
Common Stock held by Aspen as of December 31, 1996.
Cilento, Crockett, DuCros, Ferguson, Henos, and
Papantonis are general partners of AVA, and each
therefore may be deemed to own beneficially the
969,167 shares held by Aspen as of December 31, 1996.
Mr. Cilento is the beneficial owner of 6,929 shares
of Common Stock as of December 31, 1996. Dr. Crockett
is the beneficial owner of 4,529 shares of Common
Stock as of December 31, 1996. Mr. Ferguson, jointly
with his wife, is the beneficial owner of 4,529
shares of Common Stock as of December 31, 1996. Mr.
Du Cros is the beneficial owner of 3,979 shares of
Common Stock as of December 31, 1996. Mr. Henos is
the beneficial owner of 4,529 shares of Common Stock
and may be deemed to own beneficially 2,500 shares
issuable upon exercise of an option held by Mr.
Henos, as of December 31, 1996. Mr. Papantonis is the
beneficial owner of 4,329 shares of Common Stock as
of December 31, 1996.
(b) Percent of Class:
Each of Aspen and AVA owns beneficially 7.80% of the
Common Stock of Keravision, Inc. Each of Crockett,
DuCros, Ferguson and Papantonis owns beneficially
7.83% of the Common Stock of Keravision, Inc. Each of
Cilento and Henos owns beneficially 7.85% of the
Common Stock of Keravision, Inc. The foregoing
percentages are calculated based on the 12,428,351
shares of Common Stock reported to be outstanding on
November 1, 1996 in the Keravision, Inc. Quarterly
Report on Form 10-Q for the quarter ended September
30, 1996.
(c) Number of Shares as to which such person has:
(i) sole power to vote or direct the vote:
Aspen: 0; AVA: 0; Cilento: 6,929; Crockett:
4,529; DuCros: 3,979; Ferguson: 0; Henos:
7,029; and Papantonis: 4,329.
(ii) shared power to vote or to direct the vote:
Aspen: 969,167; AVA: 969,167; Cilento:
969,167; Crockett: 969,167; DuCros: 969,167;
Ferguson: 973,696; Henos: 969,167 and
Papantonis: 969,167.
Page 11 of 16 pages
(iii) sole power to dispose or to direct the
disposition of: Aspen: 0; AVA: 0; Cilento:
6,929; Crockett: 4,529; DuCros: 3,979;
Ferguson: 0; Henos: 7,029 and Papantonis:
4,329.
(iv) shared power to dispose or to direct the
disposition of: Aspen: 969,167; AVA:
969,167; Cilento: 969,167; Crockett:
969,167; DuCros: 969,167; Ferguson: 973,696;
Henos: 969,167 and Papantonis: 969,167.
ITEM (5). OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
NOT APPLICABLE.
ITEM (6). OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON:
NOT APPLICABLE.
ITEM (7). IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT COMPANY:
NOT APPLICABLE.
ITEM (8). IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
NOT APPLICABLE.
ITEM (9). NOTICE OF DISSOLUTION OF GROUP:
NOT APPLICABLE.
ITEM (10). CERTIFICATION:
NOT APPLICABLE.
Not filed pursuant to Rule 13d-1(b).
Page 12 of 16 pages
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.
Dated: February 14, 1997 ASPEN VENTURE PARTNERS, L.P.
By: Aspen Venture Associates, L.P.
By: /s/ Allan R. Ferguson
-----------------------------
General Partner
ASPEN VENTURE ASSOCIATES, L.P.
By: /s/ Allan R. Ferguson
----------------------------
General Partner
*
--------------------------------
Alexander P. Cilento
*
--------------------------------
E. David Crockett
*
--------------------------------
Michael J.F. DuCros
*
--------------------------------
Allan R. Ferguson
*
--------------------------------
Michael Henos
*
--------------------------------
Nicholas A. Papantonis
*By: /s/ Allan R. Ferguson
------------------------------
Allan R. Ferguson
Attorney-in-Fact
- --------------------------------------------------------------------------------
This Schedule 13G was executed by Allan R. Ferguson pursuant to the Power of
Attorney filed with the Securities and Exchange Commission on February 12, 1993,
in connection with a Schedule 13G for Media Vision, Inc., which Power of
Attorney is incorporated herein by reference and a copy of which is attached
hereto.
Page 13 of 16 pages
EXHIBIT I
Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934,
the undersigned hereby agree that only one statement containing the information
required on Schedule 13G need be filed with respect to ownership by each of the
undersigned of shares of Common Stock of Keravision, Inc.
This Agreement may be executed in any number of counterparts, each of
which shall be deemed an original.
Dated: February 14, 1997 ASPEN VENTURE PARTNERS, L.P.
By: Aspen Venture Associates, L.P.
By: /s/ Allan R. Ferguson
----------------------------
General Partner
ASPEN VENTURE ASSOCIATES, L.P.
By: /s/ Allan R. Ferguson
----------------------------
General Partner
*
--------------------------------
Alexander P. Cilento
*
--------------------------------
E. David Crockett
*
--------------------------------
Michael J.F. DuCros
*
--------------------------------
Allan R. Ferguson
Page 14 of 16 pages
*
--------------------------------
Michael Henos
*
--------------------------------
Nicholas A. Papantonis
*By: /s/ Allan R. Ferguson
---------------------------
Allan R. Ferguson
Attorney-in-Fact
- --------------------------------------------------------------------------------
This Schedule 13G was executed by Allan R. Ferguson pursuant to the Power of
Attorney filed with the Securities and Exchange Commission on February 12, 1993,
in connection with a Schedule 13G for Media Vision, Inc., which Power of
Attorney is incorporated herein by reference and a copy of which is attached
hereto.
Page 15 of 16 pages
EXHIBIT II
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below hereby constitutes and appoints Allan R. Ferguson and Michael J.F.
Du Cros, and each of them, with full power to act without the other, his true
and lawful attorney-in-fact, with full power of substitution, to sign any and
all instruments, certificates and documents that may be necessary, desirable or
appropriate to be executed on behalf of himself as an individual or in his
capacity as a general partner of any partnership, pursuant to section 13 or 16
of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any
and all regulations promulgated thereunder, and to file the same, with all
exhibits thereto, and any other documents in connection therewith, with the
Securities and Exchange Commission, and with any other entity when and if such
is mandated by the Exchange Act or by the By-laws of the National Association of
Securities Dealers, Inc., granting unto said attorney-in-fact full power and
authority to do and perform each and every act and thing necessary, desirable or
appropriate, fully to all intents and purposes as he might or could do in
person, thereby ratifying and confirming all that said attorney-in-fact, or his
substitutes, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the
10th day of February, 1993.
/s/Alexander P. Cilento
-------------------------
Alexander P. Cilento
/s/E. David Crockett
-------------------------
E. David Crockett
/s/Michael J.F. Du Cros
-------------------------
Michael J.F. Du Cros
/s/Allan R. Ferguson
-------------------------
Allan R. Ferguson
/s/Michael A. Henos
-------------------------
Michael A. Henos
/s/Nicholas A. Papantonis
-------------------------
Nicholas A. Papantonis
Page 16 of 16 pages
