-----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, RiiqBzTq2P4xjtd1R+HVGqNeHzff2L5RRPu64SDXHacvVEbqTNJjB85FsEOPHZ59 t1JpxH8GHX4GHL9lBMy8qQ== 0001116502-04-000266.txt : 20040217 0001116502-04-000266.hdr.sgml : 20040216 20040217124053 ACCESSION NUMBER: 0001116502-04-000266 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 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 III, 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: 04606050 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 diversa-sc13ga.txt AMENDED SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 --------------------------------- OMB APPROVAL --------------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response.............11 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. 3)* DIVERSA CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 255064107 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 - -------------------------------------------------------------------------------- (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 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. 255064107 13G Page 2 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,231,679 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 7.51% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 3 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,231,679 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 7.51% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 4 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 949,929 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.21% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 5 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 949,929 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 2.21% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 6 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 1,677,658 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 3.90% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 7 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 1,677,658 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 3.90% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 8 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 638,500 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 1.48% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 9 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 638,500 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 1.48% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 10 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 44,021 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 6,497,766 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 44,021 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 6,497,766 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,541,787 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [-] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.18% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 11 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 6,497,766 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 15.09% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 12 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 6,497,766 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 15.09% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 13 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 6,497,766 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 15.09% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 14 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 2,316,158 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 5.4% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 15 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 2,316,158 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 5.4% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 16 of 20 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 638,500 ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 1.48% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 255064107 13G Page 17 of 20 Pages Item 1(a). Name of Issuer: Diversa Corporation -------------------------------------------------------------------- Item 1(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). -------------------------------------------------------------------- Item 2(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. -------------------------------------------------------------------- Item 2(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. -------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock par value $.001 (the "Shares") -------------------------------------------------------------------- Item 2(e). CUSIP Number: 255064107 -------------------------------------------------------------------- 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: Not Applicable (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). 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 holders of the Issuer's securities. In addition, Dr. Mirabelli and Mr. Lawlor are also general partners of HCP V and HCP VI, the general partner of each of HCV V and HCV VI, 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. CUSIP No. 255064107 13G Page 18 of 20 Pages Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: As of December 31, 2003: 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 6,541,787 Shares consisting of 6,497,766 Shares of the Issuer's Common Stock, and options to purchase 44,021 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, 2003: the 3,231,679 Shares beneficially owned by HCV III and HCP III constituted 7.51% of the Shares outstanding; the 949,929 Shares beneficially owned by HCV IV and HCP IV constituted 2.21% of the Shares outstanding; the 1,677,658 Shares beneficially owned by HCV V and HCP V constituted 3.90% of the Shares outstanding; the 638,500 Shares beneficially owned by HCV VI and HCP VI constituted 1.48% of the Shares outstanding; the 6,541,787 Shares beneficially owned by Dr. Cavanaugh constituted 15.18% of the Shares outstanding; the 6,497,766 Shares beneficially owned by Messrs. Werner, Crouse and Littlechild constituted 15.09 % of the Shares outstanding; the 2,316,158 Shares beneficially owned by Dr. Mirabelli and Mr. Lawlor constituted 5.4% of the Shares outstanding and; the 638,500 Shares beneficially owned by Dr. Aguiar constituted 1.48% of the Shares outstanding. ---------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Dr. Cavanaugh has the sole power to vote or direct the vote as to the 44,021 Shares beneficially owned 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: Dr. Cavanaugh has the sole power to dispose or to direct the disposition of the 44,021 Shares beneficially owned by him. (iv) Shared power to dispose 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 vote or direct the vote of those Shares owned by HCV VI. 2 Does not include options to purchase an additional 28,750 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 within 60 days of 12/31/03. These additional options become exercisable as to (i) 138.88 Shares per month for 3 months beginning on March 14, 2004; (ii) 138.88 Shares per month for 15 months, beginning on March 22, 2004; and (iii) 972.22 Shares per month for 27 months, beginning on March 15, 2004 (Dr. Cavanaugh is not deemed to beneficially own these Shares as of the date of this report.) CUSIP No. 255064107 13G Page 19 of 20 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 [ ]. 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 or Control Person. 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. Certifications. 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. February 17, 2004 HealthCare Ventures III, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Ventures IV, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Ventures V, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Ventures VI, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners VI, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners VI, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 /s/ James H. Cavanaugh, Ph.D Princeton, New Jersey ----------------------------------------------- James H. Cavanaugh, Ph.D February 17, 2004 /s/ Harold Werner Princeton, New Jersey ----------------------------------------------- Harold Werner February 17, 2004 /s/ William Crouse Princeton, New Jersey ----------------------------------------------- William Crouse February 17, 2004 /s/ John W. Littlechild Cambridge, Massachusetts ----------------------------------------------- John W. Littlechild February 17, 2004 /s/ Christopher Mirabelli, Ph.D. Cambridge, Massachusetts ----------------------------------------------- Christopher Mirabelli, Ph.D. February 17, 2004 /s/ Augustine Lawlor Cambridge, Massachusetts ----------------------------------------------- Augustine Lawlor February 17, 2004 /s/ Eric Aguiar, Ph.D. Princeton, New Jersey ----------------------------------------------- Eric Aguiar, Ph.D. 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. February 17, 2004 HealthCare Ventures III, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners III, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners III, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Ventures IV, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners IV, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners IV, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Ventures V, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners V, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners V, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Ventures VI, L.P. Princeton, New Jersey By: its General Partner, HealthCare Partners VI, L.P. By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 HealthCare Partners VI, L.P. Princeton, New Jersey By: /s/ Jeffrey Steinberg ------------------------------------- Jeffrey Steinberg, Administrative Partner February 17, 2004 /s/ James H. Cavanaugh, Ph.D Princeton, New Jersey ----------------------------------------------- James H. Cavanaugh, Ph.D February 17, 2004 /s/ Harold Werner Princeton, New Jersey ----------------------------------------------- Harold Werner February 17, 2004 /s/ William Crouse Princeton, New Jersey ----------------------------------------------- William Crouse February 17, 2004 /s/ John W. Littlechild Cambridge, Massachusetts ----------------------------------------------- John W. Littlechild February 17, 2004 /s/ Christopher Mirabelli, Ph.D. Cambridge, Massachusetts ----------------------------------------------- Christopher Mirabelli, Ph.D. February 17, 2004 /s/ Augustine Lawlor Cambridge, Massachusetts ----------------------------------------------- Augustine Lawlor February 17, 2004 /s/ Eric Aguiar, Ph.D. Princeton, New Jersey ----------------------------------------------- Eric Aguiar, Ph.D. Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----