-----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, KXm/yYUwT4r45cnCsw/5PqJLZV9JHTxbq9OT3cwGtzi82MPoNV+8GpVlqNYVVHcf tjn2tN3/L0Vc8OvlkkbggA== 0001005477-02-000430.txt : 20020414 0001005477-02-000430.hdr.sgml : 20020414 ACCESSION NUMBER: 0001005477-02-000430 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020211 GROUP MEMBERS: AUGUSTINE LAWLOR GROUP MEMBERS: CHRISTOPHER MIRABELLI, PH.D. GROUP MEMBERS: ERIC AGUIAR, PH.D. GROUP MEMBERS: HAROLD R. WERNER GROUP MEMBERS: HEALTHCARE PARTNERS III, L.P. GROUP MEMBERS: HEALTHCARE PARTNERS IV, L.P. GROUP MEMBERS: HEALTHCARE PARTNERS V, L.P. GROUP MEMBERS: HEALTHCARE PARTNERS VI, L.P. GROUP MEMBERS: HEALTHCARE VENTURES IV, L.P. GROUP MEMBERS: HEALTHCARE VENTURES V, L.P. GROUP MEMBERS: HEALTHCARE VENTURES VI, L.P. GROUP MEMBERS: JAMES H. CAVANAUGH, PH.D. GROUP MEMBERS: JOHN W. LITTLECHILD GROUP MEMBERS: WILLIAM CROUSE FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HEALTHCARE VENTURES III L P CENTRAL INDEX KEY: 0000886425 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIVERSA CORP CENTRAL INDEX KEY: 0001049210 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 223297375 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60329 FILM NUMBER: 02533523 BUSINESS ADDRESS: STREET 1: 4955 DIRECTORS PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-526-5000 MAIL ADDRESS: STREET 1: 4955 DIRECTORS PLACE CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13G/A 1 d02-35864.txt AMENDMENT NO.1 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1 (b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 1 )* DIVERSA CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 255064107 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |_| Rule 13d-1(c) |X| Rule 13d-1(d) - ---------- * 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). (Continued on following page(s)) Page 1 of 24 Pages CUSIP No. 255064107 13G Page 2 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures III, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,231,679 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,231,679 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,231,679 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.11% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 3 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners III, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 3,231,679 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,231,679 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,231,679 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.11% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 4 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures IV, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 949,929 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 949,929 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 949,929 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.68% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 5 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners IV, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 949,929 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 949,929 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 949,929 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.68% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 6 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures V, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,677,658 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,677,658 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,677,658 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.73% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 7 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners V, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,677,658 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,677,658 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,677,658 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.73% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 8 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Ventures VI, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 638,500 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 638,500 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 638,500 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.80% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 9 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HealthCare Partners VI, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 638,500 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 638,500 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 638,500 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.80% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 10 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James H. Cavanaugh, Ph.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 18,514 -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 6,497,766 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 18,514 WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,497,766 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,516,280 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 18.37% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 11 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Harold R. Werner - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 6,497,766 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,497,766 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,497,766 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 18.32% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 12 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William Crouse - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 6,497,766 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,497,766 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,497,766 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 18.32% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 13 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John W. Littlechild - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 6,497,766 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,497,766 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,497,766 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 18.32% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 14 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Christopher Mirabelli, Ph.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 2,316,158 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,316,158 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,316,158 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.53% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 15 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Augustine Lawlor - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 2,316,158 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,316,158 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,316,158 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.53% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 255064107 13G Page 16 of 24 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eric Aguiar, Ph.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 638,500 OWNED BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 638,500 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 638,500 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 17 of 24 Item 1. (a) Name of Issuer: Diversa Corporation (b) Address of Issuer's Principal Executive Offices: 4955 Directors Place San Diego, CA 92121 Item 2. (a) Name of Person Filing: HealthCare Ventures III, L.P. ("HCV III"), HealthCare Partners III, L.P. ("HCP III"), HealthCare Ventures IV, L.P. ("HCV IV"), HealthCare Partners IV, L.P. ("HCP IV"), HealthCare Ventures V, L.P. ("HCV V"), HealthCare Partners V, L.P. ("HCP V"), HealthCare Ventures VI, L.P. ("HCV VI"), HealthCare Partners VI, L.P. ("HCP VI"), Drs. Cavanaugh, Mirabelli and Aguiar, and Messrs. Werner, Littlechild, Crouse and Lawlor. See attached Exhibit A, which is a copy of their agreement in writing to file this statement on behalf of each of them.(1) (b) Address of Principal Business Office or, if none, Residence: The business address for HCV III, HCP III, HCV IV, HCP IV, HCV V, HCP V, HCV VI, HCP VI, Drs. Cavanaugh and Aguiar and, Messrs. Werner and Crouse is 44 Nassau Street, Princeton, New Jersey 08542. The business address for Dr. Mirabelli and Messrs. Littlechild and Lawlor is One Kendall Square, Building 300, Cambridge, Massachusetts 02339. (c) Citizenship: HCV III, HCP III, HCV IV, HCP IV, HCV V, HCP V, HCV VI and HCP VI are limited partnerships organized under the laws of the State of Delaware. Drs. Cavanaugh, Mirabelli and Aguiar and Messrs. Werner, Littlechild, Crouse and Lawlor are each United States citizens. (d) Title of Class of Securities: Common Stock, par value $.001 (the "Shares"). - ---------- (1) Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse are general partners of HCP III, HCP IV, HCP V and HCP VI, the general partner of each of HCV III, HCV IV, HCV V and HCV VI, respectively, the record holder of Issuer's securities. In addition, Dr. Mirabelli and Mr. Lawlor are general partners of each of HCP V and HCP VI, the general partner of each of HCV V and HCV VI, respectively, the record holder of the Issuer's securities and; Dr. Aguiar is a general partner of HCP VI, the general partner of HCV VI, the record holder of the Issuer's securities. Page 18 of 24 (e) CUSIP Number: 255064107 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: Inapplicable. Item 4. Ownership. (a) Amount Beneficially Owned: As of December 31, 2001: HCV III and HCP III beneficially owned 3,231,679 Shares of the Issuer's Common Stock; HCV IV and HCP IV beneficially owned 949,929 Shares of the Issuer's Common Stock; HCV V and HCP V beneficially owned 1,677,658 Shares of the Issuer's Common Stock and; HCV VI and HCP VI beneficially owned 638,500 Shares of the Issuer's Common Stock. Dr. Cavanaugh beneficially owned 6,516,280 Shares consisting of 6,497,766 Shares of the Issuer's Common Stock, and immediately exercisable options to purchase 18,514 shares of the Issuer's Common Stock(2); Messrs. Werner, Crouse and Littlechild beneficially owned 6,497,766 Shares of the Issuer's Common Stock; Dr. Mirabelli and Mr. Lawlor beneficially owned 2,316,158 Shares of the Issuer's Common Stock and; Dr. Aguiar beneficially owned 638,500 Shares of the Issuer's Common Stock. (b) Percent of Class: As of December 31, 2001: the 3,231,679 Shares beneficially owned by HCV III and HCP III constitute 9.11% of the Shares outstanding; the 949,929 Shares beneficially owned by HCV IV and HCP IV constitute 2.68% of the Shares outstanding; the 1,677,658 Shares beneficially owned by HCV V and HCP V constitute 4.73% of the Shares outstanding; the 638,500 Shares beneficially owned by HCV VI and HCP VI constitute 1.80% of the Shares outstanding; the 6,516,280 Shares beneficially owned by Dr. Cavanaugh constitute 18.37% of the Shares outstanding; the 6,497,766 Shares beneficially owned by Messrs. Werner, Crouse and Littlechild constitute 18.32% of the Shares outstanding; the 2,316,158 Shares beneficially owned by Dr. Mirabelli and Mr. Lawlor constitute 6.53% of the Shares outstanding and; the 638,500 Shares beneficially owned by Dr. Aguiar constitute 1.80% of the Shares outstanding. - ---------- (2) Does not include options to purchase an additional 9,257 Shares of the Issuer's Common Stock, which were granted to Dr. Cavanaugh as a director of the Issuer and, which are not currently exercisable. These additional options become exercisable as to 771.42 Shares per month for 12 months beginning on April 14, 2002. Dr. Cavanaugh is not deemed to beneficially own these Shares at the time of this report. Page 19 of 24 pages (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: At the date of this report, Dr. Cavanaugh has the sole power to vote or to direct the vote of the 18,514 Shares owned directly by him. (ii) shared power to vote or to direct the vote: HCV III, HCP III, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to vote or direct the vote of those Shares owned by HCV III. HCV IV, HCP IV, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to vote or direct the vote of those Shares owned by HCV IV. HCV V, HCP V, Drs. Cavanaugh and Mirabelli, and Messrs. Werner, Littlechild, Crouse, and Lawlor share the power to vote or direct the vote of those Shares owned by HCV V. HCV VI, HCP VI, Drs. Cavanaugh, Mirabelli and Aguiar, and Messrs. Werner Littlechild, Crouse and Lawlor share the power to vote or direct the vote of those Shares owned by HCV VI. (iii) sole power to dispose or to direct the disposition of: At the date of this report, Dr. Cavanaugh has the sole power to dispose of or to direct the disposition of the 18,514 Shares that are directly owned by him. (iv) shared power to dispose of or to direct the disposition of: HCV III, HCP III, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to dispose of or direct the disposition of those Shares owned by HCV III. HCV IV, HCP IV, Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse share the power to dispose of or direct the disposition of those Shares owned by HCV IV. HCV V, HCP V, Drs. Cavanaugh and Mirabelli, and,Messrs. Werner, Littlechild, Crouse, and Lawlor share the power to dispose of or direct the disposition of those Shares owned by HCV V. HCV VI, HCP VI, Drs. Cavanaugh, Mirabelli and Aguiar, and Messrs. Werner, Littlechild, Crouse and Lawlor share the power to dispose of or direct the disposition of those Shares owned by HCV VI. Page 20 of 24 pages Item 5. Ownership of Five Percent or less of a Class: Inapplicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: Inapplicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Inapplicable. Item 8. Identification and Classification of Members of the Group: Inapplicable. Item 9. Notice of Dissolution of Group: Inapplicable. Item 10. Certification: Inapplicable. Page 21 of 24 pages SIGNATURES 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 8, 2002 HealthCare Ventures III, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures IV, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures V, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures VI, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners VI, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners VI, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner
Page 22 of 24 pages Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- James H. Cavanaugh, Ph.D. Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- Harold R. Werner Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- William Crouse Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- John W. Littlechild Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Christopher Mirabelli, Ph.D. Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Augustine Lawlor Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- Eric Aguiar, Ph.D.
Page 23 of 24 pages EXHIBIT A AGREEMENT JOINT FILING OF SCHEDULE 13G The undersigned hereby agree to jointly prepare and file with regulatory authorities a Schedule 13G and any future amendments thereto reporting each of the undersigned's ownership of securities of Diversa Corporation and hereby affirm that such Schedule 13G is being filed on behalf of each of the undersigned. Dated: February 8, 2002 HealthCare Ventures III, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures IV, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures V, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Ventures VI, L.P., Princeton, New Jersey by its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner Dated: February 8, 2002 HealthCare Partners VI, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------------------- Administrative Partner
Page 24 of 24 pages Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- James H. Cavanaugh, Ph.D. Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- Harold R. Werner Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- William Crouse Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- John W. Littlechild Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Christopher Mirabelli, Ph.D. Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Cambridge, Massachusetts --------------------------------------- Augustine Lawlor Dated: February 8, 2002 By: /s/ Jeffrey Steinberg, Attorney-in-Fact Princeton, New Jersey --------------------------------------- Eric Aguiar, Ph.D.
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