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EnerSys — Major Shareholding Notification 2011
Feb 11, 2011
31148_mrq_2011-02-11_fedd7917-7178-4756-9718-39c4183a0a60.zip
Major Shareholding Notification
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PAGEBREAK
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934 (Amendment No. 5)*
EnerSys
(Name of Issuer)
Common Stock
(Title of Class of Securities)
29275 Y 10 2
(CUSIP Number)
December 31, 2010
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
o Rule 13d-1(c)
þ Rule 13d-1(d)
- The remainder of this cover page shall be filled out for a reporting persons 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).
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CUSIP No. 29275 Y 10 2 13G Page 2 of 12 Pages
| 1 | NAMES OF REPORTING PERSONS Metalmark Capital LLC | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) þ | ||
| (b) o | ||
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| 5 | SOLE VOTING POWER | |
| NUMBER OF | 2,825,462 | |
| SHARES | 6 | SHARED VOTING POWER |
| BENEFICIALLY | ||
| OWNED BY | 0 | |
| EACH | 7 | SOLE DISPOSITIVE POWER |
| REPORTING | ||
| PERSON | 2,825,462 | |
| WITH | 8 | SHARED DISPOSITIVE POWER |
| 0 | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 2,825,462 | ||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | |
| o | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 5.7% | ||
| 12 | TYPE OF REPORTING PERSON | |
| CO |
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CUSIP No. 29275 Y 10 2 13G Page 3 of 12 Pages
| 1 | NAMES OF REPORTING PERSONS Morgan Stanley | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) o | ||
| (b) þ | ||
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| 5 | SOLE VOTING POWER | |
| NUMBER OF | 0 | |
| SHARES | 6 | SHARED VOTING POWER |
| BENEFICIALLY | ||
| OWNED BY | 69,909 | |
| EACH | 7 | SOLE DISPOSITIVE POWER |
| REPORTING | ||
| PERSON | 0 | |
| WITH | 8 | SHARED DISPOSITIVE POWER |
| 69,909 | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 69,909 | ||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | |
| o | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 0.1% | ||
| 12 | TYPE OF REPORTING PERSON | |
| CO |
PAGEBREAK
CUSIP No. 29275 Y 10 2 13G Page 4 of 12 Pages
| 1 | NAMES OF REPORTING PERSONS MSDW Capital Partners IV, Inc. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) þ | ||
| (b) o | ||
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| 5 | SOLE VOTING POWER | |
| NUMBER OF | 0 | |
| SHARES | 6 | SHARED VOTING POWER |
| BENEFICIALLY | ||
| OWNED BY | 69,909 | |
| EACH | 7 | SOLE DISPOSITIVE POWER |
| REPORTING | ||
| PERSON | 0 | |
| WITH | 8 | SHARED DISPOSITIVE POWER |
| 69,909 | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 69,909 | ||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | |
| o | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 0.1% | ||
| 12 | TYPE OF REPORTING PERSON | |
| CO, IA |
PAGEBREAK
CUSIP No. 29275 Y 10 2 13G Page 5 of 12 Pages
| 1 | NAMES OF REPORTING PERSONS MSDW Capital Partners IV, LLC | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) þ | ||
| (b) o | ||
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| 5 | SOLE VOTING POWER | |
| NUMBER OF | 0 | |
| SHARES | 6 | SHARED VOTING POWER |
| BENEFICIALLY | ||
| OWNED BY | 69,909 | |
| EACH | 7 | SOLE DISPOSITIVE POWER |
| REPORTING | ||
| PERSON | 0 | |
| WITH | 8 | SHARED DISPOSITIVE POWER |
| 69,909 | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 69,909 | ||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | |
| o | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 0.1% | ||
| 12 | TYPE OF REPORTING PERSON | |
| CO, IA |
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CUSIP No. 29275 Y 10 2 13G Page 6 of 12 Pages
| 1 | NAMES OF REPORTING PERSONS Morgan Stanley Dean Witter Capital Partners IV, L.P. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |
| (a) þ | ||
| (b) o | ||
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |
| Delaware | ||
| 5 | SOLE VOTING POWER | |
| NUMBER OF | 0 | |
| SHARES | 6 | SHARED VOTING POWER |
| BENEFICIALLY | ||
| OWNED BY | 69,909 | |
| EACH | 7 | SOLE DISPOSITIVE POWER |
| REPORTING | ||
| PERSON | 0 | |
| WITH | 8 | SHARED DISPOSITIVE POWER |
| 69,909 | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |
| 69,909 | ||
| 10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | |
| o | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
| 0.1% | ||
| 12 | TYPE OF REPORTING PERSON | |
| PN |
PAGEBREAK
CUSIP No. 29275 Y 10 2 13G Page 7 of 12 Pages
| Item 1(a). | Name of Issuer: |
|---|---|
| EnerSys | |
| Item 1(b). | Address of Issuers Principal Executive Offices: |
| 2366 Bernville Road | |
| Reading, PA 19605 | |
| Item 2(a). | Name of Person Filing: |
| This statement is filed on behalf of the persons identified | |
| below. In accordance with Rule 13d-1(k)(1) under the Act, | |
| each person filing this statement acknowledges that it is | |
| responsible for the completeness and accuracy of the | |
| information concerning that person but is not responsible for | |
| the completeness or accuracy of the information concerning | |
| the other persons making the filing, unless such person knows | |
| or has reason to believe that such information is inaccurate. | |
| Metalmark Capital LLC (Metalmark) | |
| Morgan Stanley (MS) | |
| MSDW Capital Partners IV, Inc. (MSCP IV, Inc.) | |
| MSDW Capital Partners IV, LLC (MSCP IV, LLC) | |
| Morgan Stanley Dean Witter Capital Investors IV, L.P. (MSCI | |
| IV, L.P. and, together with MSCP IV, Inc. and MSCP IV, LLC, | |
| the MSCP Funds) | |
| Item 2(b). | Address of Principal Business Office or, if None, Residence: |
| The address of the principal business office of Metalmark is: | |
| 1177 Avenue of the Americas | |
| New York, NY 10036 | |
| The address of the principal business office of MS, MSCP IV, | |
| Inc., MSCP IV, LLC, and | |
| MSCI IV, L.P. is: | |
| 1585 Broadway | |
| New York, NY 10036 | |
| Item 2(c). | Citizenship: |
| The place of organization of Metalmark, MS, MSCP IV, Inc., | |
| MSCP IV, LLC, and MSCI IV, L.P. is Delaware. |
Folio /Folio
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CUSIP No. 29275 Y 10 2 13G Page 8 of 12 Pages
| Item 2(d). | Title of Class of Securities: |
|---|---|
| This statement relates to the Companys Common Stock, par value $0.01 per share. | |
| Item 2(e). | CUSIP Number: |
| 29275 Y 10 2 | |
| Item 3. | If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check |
| whether the person filing is a: |
| (a) | o | Broker or dealer registered under Section 15 of the Act; |
|---|---|---|
| (b) | o | Bank as defined in Section 3(a)(6) of the Act; |
| (c) | o | Insurance company as defined in Section 3(a)(19) of the Act; |
| (d) | o | Investment company registered under Section 8 of the Investment Company Act of 1940; |
| (e) | o | An investment adviser in accordance with Rule 13(d)-1(b)(1)(ii)(E); |
| (f) | o | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
| (g) | o | A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); |
| (h) | o | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; |
| (i) | o | A church plan that is excluded from the definition of an investment company under |
| Section 3(c)(14) of the Investment Company Act; | ||
| (j) | o | A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
| (k) | o | Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
| Item 4. |
| --- |
| The filing of this statement should not be construed as an admission by any person
that such person is, for purposes of Section 13(d) or 13(g) of the Exchange Act, the
beneficial owner of any securities covered by this statement, other than the
securities set forth opposite such persons name in the table in Item 4(c) below. |
| (a) Amount beneficially owned: |
| As of December 31, 2010, Morgan Stanley Dean Witter Capital Partners IV, L.P. (MSCP
IV, L.P.) owned directly 2,557,999 shares and MSDW IV 892 Investors, L.P. (MSCP IV
892, L.P.) owned directly 217,961 shares. An affiliate of Metalmark is the
subadvisor to MSCP IV, L.P. and MSCP IV 892, L.P. and, as such, has the sole power to
vote or direct the vote and to dispose or direct the disposition of all shares held
by MSCP IV, L.P. and MSCP IV 892, L.P. |
| As of December 31, 2010, MSCI IV, L.P. owned directly 69,909 shares. MSCP IV, LLC is
the general partner of MSCI IV, L.P. and, as such, has the power to vote or direct
the vote and to dispose or direct the disposition of all shares held by MSCI IV, L.P.
MSCP IV, Inc. is the managing member of MSCP IV, LLC and, as such, shares the power
to direct the actions of MSCI IV, LLC. MS, as sole shareholder of MSCP IV, Inc.,
controls the actions of MSCP IV, Inc. Therefore, MSCP IV, LLC and MSCP IV, Inc. each
may be deemed to have beneficial ownership of all the shares held by MSCI IV, L.P. |
Folio /Folio
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CUSIP No. 29275 Y 10 2 13G Page 9 of 12 Pages
| Therefore, MS may be deemed to have beneficial ownership of all the shares held by
MSCI IV, LP. |
| --- |
| MS is filing solely in its capacity as parent company of, and indirect beneficial
owner of securities held by, one of its business units. |
| By virtue of a subadvisory arrangement, Metalmark may be deemed to have sole power to
vote or direct the vote and to dispose or direct the disposition of the shares held
by MSCP IV, L.P. and MSCP IV 892, L.P. In addition, under the subadvisory
arrangement, MSCI IV, L.P. is effectively obligated to vote or direct the vote and to
dispose or direct the disposition of any shares owned directly by it on the same
terms and conditions as MSCP IV, L.P. and MSCP IV 892, L.P. Metalmark also
beneficially owns 31,690 shares, 12,500 shares issuable upon exercise of stock
options and 5,312 restricted stock units payable in the form of Common Stock on or
after September 16, 2011. |
| (b) Percent of class: 1 |
| Metalmark Capital LLC | 5.7% of the Common Stock |
|---|---|
| Morgan Stanley | 0.1% of the Common Stock |
| MSDW Capital Partners IV, Inc. | 0.1% of the Common Stock |
| MSDW Capital Partners IV, LLC | 0.1% of the Common Stock |
| Morgan Stanley Dean Witter Capital Investors IV, | |
| L.P. | 0.1% of the Common Stock |
(c) Number of shares as to which such person has:
| (i) | (ii) | Sole Power to | Shared Power to | |
|---|---|---|---|---|
| Sole Power to | Shared Power to | Dispose or to | Dispose or to | |
| Vote or to | Vote or to | Direct the | Direct the | |
| Direct the Vote | Direct the Vote | Disposition of | Disposition of | |
| Metalmark Capital LLC | 2,825,462 | - 0 - | 2,825,462 | - 0 - |
| Morgan Stanley | 69,909 | 69,909 | ||
| MSDW Capital Partners IV, | ||||
| Inc. | - 0 - | 69,909 | - 0 - | 69,909 |
| MSDW Capital Partners IV, | ||||
| LLC | - 0 - | 69,909 | - 0 - | 69,909 |
| Morgan Stanley Dean | ||||
| Witter Capital Investors | ||||
| IV, L.P. | - 0 - | 69,909 | - 0 - | 69,909 |
1 Based on the Common Stock outstanding on January 2, 2011.
Folio /Folio
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CUSIP No. 29275 Y 10 2 13G Page 10 of 12 Pages
| Item 5. | Ownership of Five Percent or Less of a Class. |
|---|---|
| If this statement is being filed to report the fact that as of | |
| the date hereof the reporting person has ceased to be the | |
| beneficial owner of more than five percent of the class of | |
| securities, check the following o | |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
| N/A | |
| Item 7. | Identification and Classification of the Subsidiary Which |
| Acquired the Security Being Reported on by the Parent Holding | |
| Company or Control Person. | |
| N/A | |
| Item 8. | Identification and Classification of Members of the Group. |
| Metalmark and the MSCP Funds have entered into a 2004 | |
| Securityholder Agreement dated as of July 26, 2004, which governs | |
| certain relationships among such parties as stockholders. | |
| Metalmark and the MSCP Funds may be deemed to be a group for | |
| purposes of Section 13(d)(3) or Section 13(g)(3) of the Act and | |
| Rule 13d-5(b)(1) thereunder. | |
| Item 9. | Notice of Dissolution of Group . |
| N/A | |
| Item 10. | Certifications. |
| Not Applicable to filings pursuant to Rule 13d-1(d). |
Folio /Folio
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CUSIP No. 29275 Y 10 2 13G Page 11 of 12 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. On executing the statement, the undersigned agrees, to the extent required by Rule 13d-1(k)(1), that this statement is being filed on behalf of each of the Reporting Persons herein.
| Dated: February 11, 2011 | |
|---|---|
| Metalmark Capital LLC | |
| /s/ Kenneth F. Clifford | |
| Name: | Kenneth F. Clifford |
| Title: | Managing Director |
| Morgan Stanley | |
| /s/ Christopher L. ODell | |
| Name: | Christopher L. ODell |
| Title: | Authorized Signatory |
| MSDW Capital Partners IV, Inc . By: METALMARK SUBADVISOR LLC, as attorney-in-fact | |
| /s/ Kenneth F. Clifford | |
| Name: | Kenneth F. Clifford |
| Title: | Managing Director |
Folio /Folio
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CUSIP No. 29275 Y 10 2 13G Page 12 of 12 Pages
| MSDW Capital Partners IV, LLC By: MSDW Capital Partners IV, Inc., as Member By: METALMARK SUBADVISOR LLC, as attorney-in-fact | |
|---|---|
| /s/ Kenneth F. Clifford | |
| Name: | Kenneth F. Clifford |
| Title: | Managing Director |
| Morgan Stanley Dean Witter Capital Investors IV, L.P. By: MSDW Capital Partners IV, LLC, as General Partner By: MSDW Capital Partners IV, Inc., as Member By: METALMARK SUBADVISOR LLC, as attorney-in-fact | |
| /s/ Kenneth F. Clifford | |
| Name: | Kenneth F. Clifford |
| Title: | Managing Director |
Folio /Folio