UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
FORM 3
OMB APROVAL
OMB NUMBER: 3235-0104
Expires: September 30, 1998
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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
(Print or Type Responses)
1. Name and Address of Reporting Person*
Morgan Stanley Capital Partners III, Inc.
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(Last) (First) (Middle)
1221 Avenue of the Americas
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(Street)
New York NY 10020
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(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/15/00
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Issuer Name and Ticker or Trading Symbol
Catalytica Energy Systems, Inc. (CESI)
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5. Relationship of Reporting Person to Issuer (Check all applicable)
Director X 10% Owner
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Officer (give title below) Other (specify below)
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6. If Amendment, Date of Original (Month/Day/Year)
11/14/00
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7. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
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X Form filed by More than One Reporting Person
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Table I Non-Derivative Securities Beneficially Owned
<TABLE>
<CAPTION>
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect
(Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership
(Instr. 4) (D) or Indirect (Instr. 5)
(I)(Instr. 5)
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<S> <C> <C> <C>
Common Stock 4,136,748(1) I(2) Through Partnerships
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly. (Over)
* If the form is filed by more than one reporting person, see Instruction SEC 1473 (7-96)
5(b)(v).
</TABLE>
<PAGE>
Table II Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
<TABLE>
<CAPTION>
1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature
Security (Instr. 4) and Expiration Securities Underlying sion or ship of In-
Date (Month/Day/ Year) Derivative Securities Exercise Form of direct
------------------------- (Instr. 4) Price of Deriv- Bene-
Date Expira- ------------------------- Derivative ative ficial
Exer- tion Title Amount Security Security: Owner-
cisable Date or Direct ship
Number (D) or (Instr.
of Indirect 5)
Shares (I)
(Instr.
5)
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<S> <C> <C> <C> <C> <C> <C> <C>
</TABLE>
Explanation of Responses:
1. Each reporting person received .16547 of a share of the Issuer's common stock
for each share of Catalytica, Inc. common stock held by such reporting person in
the Issuer's spin-off from Catalytica, Inc. that occurred on December 15, 2000.
2. Except for Morgan Stanley Capital Partners III, L.P., MSCP III 892 Investors,
L.P. and Morgan Stanley Capital Investors, L.P., which will hold the common
stock directly.
/s/ Peter Vogelsang 12/28/00
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**Signature of Reporting Date
Person
By: Peter Vogelsang, authorized signatory for Morgan
Stanley Dean Witter & Co. and Secretary of Morgan
Stanley Capital Partners III, Inc., the general
partner of MSCP III, LLC, the general partner of
Morgan Stanley Capital Partners III, L.P., MSCP
III 892 Investors, L.P. and Morgan Stanley Capital
Investors, L.P.
Page2
SEC 1473 (7-96)
**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 is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
<PAGE>
Joint Filer Information
Each of the following joint filers has designated Morgan Stanley Capital
Partners III, Inc. as the "Designated Filer" for purposes of Item 1 of the
attached Form 3:
(1) Morgan Stanley Dean Witter & Co. ("MSDW")
1585 Broadway
New York, New York 10036
(2) MSCP III, LLC
1221 Avenue of the Americas
New York, New York 10020
(3) Morgan Stanley Capital Partners III, L.P. ("Partners III, L.P.")
1221 Avenue of the Americas
New York, New York 10020
(4) MSCP III 892 Investors, L.P. ("892 Investors")
1221 Avenue of the Americas
New York, New York 10020
(5) Morgan Stanley Capital Investors, L.P. ("MSCI")
1221 Avenue of the Americas
New York, New York 10020
Issuer & Ticker Symbol: Catalytica Energy Systems, Inc. (CESI)
Date of Event Requiring Statement: 11/14/00
Signature: /s/ Peter Vogelsang
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By: Peter Vogelsang, as authorized signatory
for MSDW and as secretary of Morgan Stanley
Capital Partners III, Inc., the general partner of
MSCP III, LLC, the general partner of each of
Partners III, L.P., 892 Investors and MSCI
