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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
HUMAN GENOME SCIENCES, INC.
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(Name of Issuer)
Common Stock $.01 par value
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(Title of Class of Securities)
444903108
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(CUSIP Number)
Check the following box if a fee is being paid with this statement
[ ]. (A fee is not required only if the reporting person: (1) has
a previous statement on file reporting beneficial ownership of
more than five percent of the class of securities described in
Item 1; and (2) has filed no amendment subsequent thereto
reporting beneficial ownership of five percent or less of such
class.) (See Rule 13d-7.)
*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 14 pages
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CUSIP No. 444903108 13G Page 2 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
HealthCare Ventures III, L.P.
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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5. SOLE VOTING POWER
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NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 198,106
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
198,106
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
198,106
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.1%
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12. TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 444903108 13G Page 3 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
HealthCare Partners III, L.P.
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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5. SOLE VOTING POWER
-----------------------------------------------
NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 198,106
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
198,106
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
198,106
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.1%
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12. TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 444903108 13G Page 4 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
HealthCare Ventures IV, L.P.
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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5. SOLE VOTING POWER
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NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 58,061
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
58,061
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
58,061
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.3%
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12. TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP No. 444903108 13G Page 5 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
HealthCare Partners IV, L.P.
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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5. SOLE VOTING POWER
-----------------------------------------------
NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 58,061
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
58,061
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
58,061
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.3%
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12. TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP No. 444903108 13G Page 6 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James H. Cavanaugh, Ph.D.
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5. SOLE VOTING POWER
81,914
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NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 256,167
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON 81,914
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
256,167
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
338,081
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.8%
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12. TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 444903108 13G Page 7 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Harold R. Werner
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5. SOLE VOTING POWER
21,474
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NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 256,167
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON 21,474
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
256,167
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
277,641
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.5%
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12. TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 444903108 13G Page 8 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John W. Littlechild
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5. SOLE VOTING POWER
44,960
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NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 256,167
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON 44,960
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
256,167
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
301,127
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.6%
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12. TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 444903108 13G Page 9 of 14 pages
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1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
William Crouse
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5. SOLE VOTING POWER
29,414
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NUMBER OF 6. SHARED VOTING POWER
SHARES
BENEFICIALLY 256,167
OWNED BY -----------------------------------------------
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON 29,414
WITH -----------------------------------------------
8. SHARED DISPOSITIVE POWER
256,167
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
285,581
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.5%
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12. TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
Page 10 of 14 pages
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Item 1.
(a) Name of Issuer:
Human Genome Sciences, Inc.
(b) Address of Issuer's Principal Executive Offices:
9620 Medical Center Drive
Rockville, Maryland 20850-3338
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"), Dr. Cavanaugh
and Messrs. Werner, Littlechild and Crouse. 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, Dr.
Cavanaugh and Messrs. Werner and Crouse is Twin Towers at
Metro Park, 379 Thornall Street, Edison, New Jersey 08837. The
business address for Mr. Littlechild is One Kendall Square,
Building 300, Cambridge, Massachusetts 02139.
(c) Citizenship:
HCV III, HCP III, HCV IV and HCP IV are limited partnerships
organized under the laws of the State of Delaware. Dr.
Cavanaugh and Messrs. Werner, Littlechild and Crouse are each
United States citizens.
(d) Title of Class of Securities:
Common Stock, par value $.01 ("Shares").
- --------
(1) Dr. Cavanaugh and Messrs. Werner, Littlechild and Crouse are
general partners of HCP III and HCP IV, which are the general
partners of HCV III and HCV IV, respectively, the record
holder of Issuer's securities.
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Page 11 of 14 pages
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(e) CUSIP Number:
444903108
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, 1996: HCV III and HCP III
beneficially owned 198,106 Shares of Issuer's Common
Stock; HCV IV and HCP IV beneficially owned 58,061
Shares of Issuer's Common Stock; and each of Dr.
Cavanaugh and Messrs. Werner, Littlechild and Crouse
each beneficially owned 388,081, 277,641, 301,127 and
285,581 Shares of Issuer's Common Stock, respectively.
(b) Percent of Class:
As of December 31, 1996: the 198,106 Shares of Issuer's
securities beneficially owned by HCV III and HCP III
constitute 1.1% of Issuer's Shares outstanding; the 58,061
Shares of Issuer's securities beneficially owned by HCV IV and
HCP IV constitute 0.3% of Issuer's Shares outstanding; and the
388,081, 277,641, 301,127 and 285,581 Shares of Issuer's
securities beneficially owned by each of Dr. Cavanaugh and
Messrs. Werner, Littlechild and Crouse constitute 1.8%, 1.5%,
1.6% and 1.5%, respectively, of Issuer's Shares outstanding.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: Each of Dr.
Cavanaugh and Messrs. Werner, Littlechild and Crouse
has the sole power to vote or direct the vote of the
81,914, 21,474, 44,960 and 29,414 Shares,
respectively, of Issuer's Common Stock 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.
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Page 12 of 14 pages
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HCV IV, HCP IV Dr. Cavanaugh and Messrs. Werner,
Littlechild and Crouse share the power to vote or to
direct the vote of those Shares owned by HCV IV.
(iii) sole power to dispose or to direct the disposition
of: Each of Dr. Cavanaugh and Messrs. Werner,
Littlechild and Crouse has the sole power to dispose
or direct the disposition of the 81,914, 21,474,
44,960 and 29,414 Shares, respectively, of Issuer's
Common Stock beneficially 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 to direct the disposition of those Shares owned by
HCV IV.
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 [X].
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.
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Page 13 of 14 pages
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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.
<TABLE>
<S> <C>
Dated: February 13, 1997 HealthCare Ventures III, L.P.,
Edison, New Jersey by its General Partner, HealthCare Partners III, L.P.
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 HealthCare Partners III, L.P.
Edison, New Jersey
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 HealthCare Ventures IV, L.P.,
Edison, New Jersey by its General Partner, HealthCare Partners IV, L.P.
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 HealthCare Partners IV, L.P.
Edison, New Jersey
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Edison, New Jersey -----------------------------
James H. Cavanaugh, Ph.D.
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Edison, New Jersey -----------------------------
Harold R. Werner
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Cambridge, -----------------------------
Massachusetts John W. Littlechild
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Edison, New Jersey -----------------------------
William Crouse
</TABLE>
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Page 14 of 14 pages
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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 Human Genome
Sciences, Inc. and hereby affirm that such Schedule 13G is being filed on behalf
of each of the undersigned.
<TABLE>
<S> <C>
Dated: February 13, 1997 HealthCare Ventures III, L.P.,
Edison, New Jersey by its General Partner, HealthCare Partners III, L.P.
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 HealthCare Partners III, L.P.
Edison, New Jersey
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 HealthCare Ventures IV, L.P.,
Edison, New Jersey by its General Partner, HealthCare Partners IV, L.P.
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 HealthCare Partners IV, L.P.
Edison, New Jersey
By: /s/ Jeffrey Steinberg
-----------------------------
Administrative Partner
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Edison, New Jersey -----------------------------
James H. Cavanaugh, Ph.D.
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Edison, New Jersey -----------------------------
Harold R. Werner
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Cambridge, -----------------------------
Massachusetts John W. Littlechild
Dated: February 13, 1997 By: /s/ Jeffrey Steinberg as Attorney-in-Fact
Edison, New Jersey -----------------------------
William Crouse
</TABLE>
