-----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, FQ9H1Ptgx3UslzPktMfkwGFF/gVYMPWg/vCfZaH9ADroidLO3GBkg/RWnqn/DBuD 1/MUNiN0Ky+NwcQlrEnD4g== 0001010521-00-000160.txt : 20000209 0001010521-00-000160.hdr.sgml : 20000209 ACCESSION NUMBER: 0001010521-00-000160 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000208 GROUP MEMBERS: HANCOCK JOHN FINANCIAL SERVICES INC GROUP MEMBERS: JOHN HANCOCK ADVISERS, INC. GROUP MEMBERS: JOHN HANCOCK FINANCIAL SERVICES, INC. GROUP MEMBERS: JOHN HANCOCK LIFE INSURANCE COMPANY GROUP MEMBERS: JOHN HANCOCK SUBSIDIARIES, INC. GROUP MEMBERS: THE BERKELEY FINANCIAL GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MAHASKA INVESTMENT CO CENTRAL INDEX KEY: 0000741390 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421003699 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52545 FILM NUMBER: 527536 BUSINESS ADDRESS: STREET 1: 222 FIRST AVENUE EAST CITY: OSKALOOSA STATE: IA ZIP: 52577 BUSINESS PHONE: 5156738448 MAIL ADDRESS: STREET 1: 222 FIRST AVDNUE EAST CITY: OSKALOOSA STATE: IA ZIP: 52577 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0000736260 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: JOHN HANCOCK PLACE STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02117 MAIL ADDRESS: STREET 1: JOHN HANCOCK PLACE STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02117 SC 13G/A 1 MAHASKA INVESTMENT COMPANY ----------------------------- OMB APPROVAL OMB Number 3235-0145 Expires: January 30, 2000 Estimated average burden hours per response . . .14.90 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL SCHEDULE 13G Under the Securities Exchange Act of 1934 Mahaska Investment Company - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 559809108 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of the Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] 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). PAGE 1 OF 10 PAGES
- ----------------------------------------- -------------------------------------- CUSIP No. 559809108 13G Page 2 of 10 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Financial Services, Inc. I.R.S. No. 04-3483032 - ---------- ------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ---------- ------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- ------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its indirect, wholly-owned subsidiary, John Hancock Advisers, Inc. - ---------- ------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- ------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 See line 9, above. - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 10 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 559809108 13G Page 3 of 10 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Life Insurance Company (formerly named John Hancock Mutual Life Insurance Company) I.R.S. No. 04-1414660 - ---------- ------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ---------- ------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - ---------- ------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its indirect, wholly-owned subsidiary, John Hancock Advisers, Inc. - ---------- ------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- ------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 See line 9, above. - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IC, IA, HC - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 10 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 559809108 13G Page 4 of 10 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Subsidiaries, Inc. I.R.S. No. 04-2687223 - ---------- ------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ---------- ------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- ------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its indirect, wholly-owned subsidiary, John Hancock Advisers, Inc. - ---------- ------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- ------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 See line 9, above. - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 4 OF 10 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 559809108 13G Page 5 of 10 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Berkeley Financial Group, Inc. I.R.S. No. 04-3145626 - ---------- ------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ---------- ------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- ------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its indirect, wholly-owned subsidiary, John Hancock Advisers, Inc. - ---------- ------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- ------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 See line 9, above. - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 5 OF 10 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 559809108 13G Page 6 of 10 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Advisers, Inc. I.R.S. No. 04-2441573 - ---------- ------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ---------- ------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- ------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares 224,171 -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With 224,171 -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 224,171 - ---------- ------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- ------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 6 OF 10 PAGES The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-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) Item 1(a) Name of Issuer: Mahaska Investment Company Item 1(b) Address of Issuer's Principal Executive Offices: 222 First Avenue East Oskaloosa, IA 52577 Item 2(a) Name of Person Filing: This filing is made on behalf of John Hancock Financial Services, Inc. ("JHF"), JHF's direct, wholly-owned subsidiary, John Hancock Life Insurance Company ("JHLICO"), JHLICO's direct, wholly-owned subsidiary, John Hancock Subsidiaries, Inc. ("JHSI"), JHSI's direct, wholly-owned subsidiary, The Berkeley Financial Group, Inc. ("TBFG") and TBFG's wholly-owned subsidiary, John Hancock Advisers, Inc. ("JHA"). Effective February 1, 2000, JHF became the parent of JHLICO, formerly named John Hancock Mutual Life Insurance Company. Item 2(b) Address of the Principal Offices: The principal business offices of JHF, JHLICO and JHSI are located at John Hancock Place, P.O. Box 111, Boston, MA 02117. The principal business offices of TBFG and JHA are located at 101 Huntington Avenue, Boston, Massachusetts 02199. Item 2(c) Citizenship: JHLICO was organized and exists under the laws of the Commonwealth of Massachusetts. JHF, JHSI, TBFG and JHA were organized and exist under the laws of the State of Delaware. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 559809108 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: JHF: (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). JHLICO: (c) (X) Insurance Company as defined in ss.3(a)(19) of the Act. (e) (X) Investment Adviser registered under ss.203 of the Investment Advisers Act of 1940. (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). JHSI: (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). PAGE 7 OF 10 PAGES TBFG: (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). JHA: (e) (X) Investment Adviser registered under ss.203 of the Investment Advisers Act of 1940. Item 4 Ownership: (a) Amount Beneficially Owned: JHA has direct beneficial ownership of 224,171 shares of Common Stock. Through their parent-subsidiary relationship to JHA, JHF, JHLICO, JHSI and TBFG have indirect, beneficial ownership of these same shares. 224,171 shares are held by the John Hancock Bank and Thrift Opportunity Fund, a closed-end diversified management company registered under ss.8 of the Investment Company Act. (b) Percent of Class: 5.2% (c) (i) sole power to vote or to direct the vote: JHA has sole power to vote or direct the vote of the 224,171 shares of Common Stock under the Advisory Agreement as follows: Date of Number Advisory Fund Name of Shares Agreement --------- --------- --------- John Hancock Bank and Thrift Opportunity Fund 224,171 July 21, 1994 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: JHA has sole power to dispose or to direct the disposition of the 224,171 shares of Common Stock under the Advisory Agreement noted in Item 4(c)(i) above. (iv) shared power to dispose or to direct the disposition of: -0- Item 5 Ownership of Five Percent or Less of a Class: Not applicable. Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Item 4. Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: See Items 3 and 4 above. Item 8 Identification and Classification of Members of the Group: Not applicable. Item 9 Notice of Dissolution of a Group: Not applicable. Item 10 Certification: By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. PAGE 8 OF 10 PAGES SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. John Hancock Financial Services, Inc. By: /s/Barry J. Rubenstein ----------------------------------- Name: Barry J. Rubenstein Dated: February 8, 2000 Title: Vice President, Counsel & Secretary John Hancock Life Insurance Company By: /s/Marion L. Nierintz --------------------------------------------- Name: Marion L. Nierintz Dated: February 8, 2000 Title: Second Vice President and Assistant Secretary John Hancock Subsidiaries, Inc. By: /s/Marion L. Nierintz --------------------- Name: Marion L. Nierintz Dated: February 8, 2000 Title: Secretary The Berkeley Financial Group, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 8, 2000 Title: Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 8, 2000 Title: Vice President PAGE 9 OF 10 PAGES EXHIBIT A JOINT FILING AGREEMENT John Hancock Financial Services, Inc., John Hancock Life Insurance Company, John Hancock Subsidiaries, Inc., The Berkeley Financial Group, Inc. and John Hancock Advisers, Inc. agree that the Initial Schedule 13G, to which this Agreement is attached, relating to the Common Stock of Mahaska Investment Company is filed on behalf of each of them. John Hancock Financial Services, Inc. By: /s/Barry J. Rubenstein ----------------------------------- Name: Barry J. Rubenstein Dated: February 8, 2000 Title: Vice President, Counsel & Secretary John Hancock Life Insurance Company By: /s/Marion L. Nierintz --------------------- Name: Marion L. Nierintz Dated: February 8, 2000 Title: Second Vice President John Hancock Subsidiaries, Inc. By: /s/Marion L. Nierintz --------------------- Name: Marion L. Nierintz Dated: February 8, 2000 Title: Secretary The Berkeley Financial Group, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 8, 2000 Title: Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 8, 2000 Title: Vice President PAGE 10 OF 10 PAGES
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