-----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, IqAh5fGwtlJoSo8Od+hO9HxIE20ZlSq+wQcf9/F4x0ZXKvsPZWsdwssVhsUNi1Rq pcXltvW2RU2yNV+2y98HbQ== 0000903423-97-000048.txt : 19970222 0000903423-97-000048.hdr.sgml : 19970222 ACCESSION NUMBER: 0000903423-97-000048 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970218 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CATALYTICA INC CENTRAL INDEX KEY: 0000841466 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 942262240 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44613 FILM NUMBER: 97537161 BUSINESS ADDRESS: STREET 1: 430 FERGUSON DRIVE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043-5272 BUSINESS PHONE: 4159603000 MAIL ADDRESS: STREET 1: 430 FERGUSON DR CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043-5272 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KOCH INDUSTRIES INC CENTRAL INDEX KEY: 0000923338 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 480484227 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 4111 EAST 37TH STREET NORTH CITY: WICHITA STATE: KS ZIP: 67220 BUSINESS PHONE: 3168285500 MAIL ADDRESS: STREET 1: 4111 EAST 37TH STREET NORTH CITY: WICHITA STATE: KS ZIP: 67220 SC 13G/A 1 ----------------------------- OMB Approval OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response....14.90 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) CATALYTICA, Inc. - ------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value per share - ------------------------------------------------------------------- (Title of Class of Securities) 148885-10-6 - ------------------------------------------------------------------- (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). - --------------------------- ---------------------------- CUSIP No. 148885-10-6 13G Page 2 of 5 Pages - --------------------------- ---------------------------- - --------------------------------------------------------------------------- 1 Names of Reporting Persons S.S. OR I.R.S. Identification Nos. of Above Person Koch Industries, Inc. 48-0484227 - -------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) (a) [ ] Not Applicable (b) [ ] - -------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------- 4 Citizenship or Place of Organization Kansas - -------------------------------------------------------------------------- 5 Sole Voting Power 740,801 NUMBER OF -------------------------------------------------------- SHARES 6 Shared Voting Power BENEFICIALLY -0- OWNED BY -------------------------------------------------------- EACH 7 Sole Dispositive Power REPORTING 740,801 PERSON -------------------------------------------------------- WITH 8 Shared Dispositive Power -0- - -------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned By Each Reporting Person 740,801 - -------------------------------------------------------------------------- 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares (See Instructions) Not Applicable - -------------------------------------------------------------------------- 11 Percent Of Class Represented By Amount In Row 9 3.8% - -------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------- CUSIP No. 148885-10-6 Page 3 of 5 Pages Item 1. (a) Name of Issuer: Catalytica, Inc. (b) Address of Issuer's Principal Executive Offices: 430 Ferguson Drive Mountain View, California 94043 Item 2 (a) Name of Person Filing: Koch Industries, Inc. (b) Address of Principal Office or, if none, Residence: P.O. Box 2256 Wichita, Kansas 67201-2256 (c) CITIZENSHIP: Koch Industries, Inc. is a Kansas corporation (d) TITLE OF CLASS OF SECURITIES: Common Stock, $.001 par value per share (e) CUSIP NUMBER: 148885-10-6 Item 3. Not applicable (a) [ ] Broker or Dealer registered under Section 15 of 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 (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (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 ss.240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(H) Item 4. (a) Amount Beneficially Owned: 740,801 (b) Percent of Class: 3.8%* * Based on 19,330,000 shares outstanding as of December 31, 1996. CUSIP No. 148885-10-6 Page 4 of 5 Pages (c) Number of Shares as to Which Such Person Has: (i) Sole Power to Vote or to Direct the Vote: 740,801 (ii) Shared Power to Vote or to Direct the Vote: -0- (iii) Sole Power to Dispose or Direct the Disposition Of: 740,801 (iv) Shared Power to Dispose or Direct the Disposition Of: -0- Item 5. As of November 22, 1996, Koch Industries, Inc. ceased to be a beneficial owner of more than 5% of the common stock of Catalytica, Inc. Item 6. Not Applicable Item 7. Not Applicable Item 8. Not Applicable Item 9. Not Applicable CUSIP No. 148885-10-6 Page 5 of 5 Pages Item 10. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. February 7, 1997 - --------------------------------------------------------------------- Date /s/ Paul W. Brooks - --------------------------------------------------------------------- Signature Paul W. Brooks, Senior Vice President - --------------------------------------------------------------------- Name/Title UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CATALYTICA, INC. - ----------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value per share - ----------------------------------------------------------------- (Title of Class of Securities) 148885-10-6 - ----------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) 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. - ------------------------ ------------------------- CUSIP NO. 148885-10-6 13G Page 2 of 4 Pages - ------------------------ ------------------------- - ----------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Koch Industries, Inc. 48-0484227 - ----------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ----------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 1,482,801 -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 1,482,801 -------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - ----------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,482,801 - ----------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ----------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.0% - ----------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - ----------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT! Item 1(a). Name of Issuer: Catalytica, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 430 Ferguson Drive Mountain View, California 94043 Item 2(a). Name of Person Filing: Koch Industries, Inc. Item 2(b). Address of Principal Business Office: P.O. Box 2256 Wichita, Kansas 67201 Item 2(c). Citizenship or Place of Organization: Koch Industries, Inc. is a Kansas corporation Item 2(d). Title of Class of Securities: Common Stock, $.001 par value per share Item 2(e). CUSIP Number: 148885-10-6 Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: Not applicable. Item 4. Ownership. (a) Amount Beneficially Owned: 1,482,801 (b) Percent of Class:* 10.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,482,801 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 1,482,801 (iv) shared power to dispose or direct the disposition of: -0- * Based on 14,844,423 shares outstanding as of December 31, 1993. 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 Holding 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. 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 4, 1994 Koch Industries, Inc. By /s/ Paul W. Brooks ---------------------- Name: Paul W. Brooks Title: Sr. Vice President -----END PRIVACY-ENHANCED MESSAGE-----