-----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, KGLYEP9Isnka0e2OZ82NkxKHsu2z5hOazbYnWdvDS1KjonklRf4fIsre50AGnVej bo7PFhH4EsxHgqySGqqSfQ== 0001010521-01-000133.txt : 20010214 0001010521-01-000133.hdr.sgml : 20010214 ACCESSION NUMBER: 0001010521-01-000133 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010213 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: REGENT COMMUNICATIONS INC CENTRAL INDEX KEY: 0000913015 STANDARD INDUSTRIAL CLASSIFICATION: RADIO BROADCASTING STATIONS [4832] IRS NUMBER: 311492857 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-54365 FILM NUMBER: 1535861 BUSINESS ADDRESS: STREET 1: 100 EAST RIVERCENTER BOULEVARD STREET 2: 9TH FLOOR CITY: COVINGTON STATE: KY ZIP: 41011 BUSINESS PHONE: 6062920030 MAIL ADDRESS: STREET 1: 100 EAST RIVERCENTER BLVD STREET 2: 9TH FLOOR CITY: COVINGTON STATE: KY ZIP: 41011 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0000736260 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 043483032 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: LAW DIVISION STREET 2: PO BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 MAIL ADDRESS: STREET 1: LAW DIVISION STREET 2: PO BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 SC 13G 1 0001.txt REGENT COMMUNICATIONS, INC. --------------------------------- OMB APPROVAL OMB Number 3235-0145 Expires: October 31, 2002 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 Regent Communications, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 758865109 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this 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 11 PAGES
- ----------------------------------------- -------------------------------------- CUSIP No. 758865109 13G Page 2 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). 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 11 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 758865109 13G Page 3 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). John Hancock 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 11 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 758865109 13G Page 4 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). 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 11 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 758865109 13G Page 5 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). 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 11 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 758865109 13G Page 6 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). 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 2,704,800 -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With 2,704,800 -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,704,800 - ---------- ------------------------------------------------------------------------------------------------------------- 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 7.9% - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 6 OF 11 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 Sec. 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: -------------- Regent Communications, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 50 East Rivercenter Boulevard Suite 180 Covington, KY 41011 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"). As a result of the demutualization of JHLICO, JHF became the parent holding company of JHLICO and may be deemed the beneficial owner of securities beneficially owned by JHLICO. Prior filings in respect of this holding were made by JHLICO (CIK No. 0000917406). 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: ------------- 758865109 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. PAGE 7 OF 11 PAGES (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). 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 2,704,800 shares of Common Stock. Through their parent-subsidiary relationship to JHA, JHF, JHLICO, JHSI and TBFG have indirect, beneficial ownership of these same shares. (b) Percent of Class: 7.9% ---------------- (c) (i) sole power to vote or to direct the vote: JHA has sole power to vote or to direct the vote of 2,704,800 shares of Common Stock under the Advisory Agreements as follows: Number Date of Fund Name of Shares Advisory Agreement --------- --------- ------------------ V.A. Small Cap Growth Fund 19,000 August 29, 1996 John Hancock Small Capitalization Value Fund 60,500 April 03, 1995 John Hancock Small Cap Value Fund) 943,100 October 31, 1998 Aggressive Growth 2J 10,850 December 30, 1994 Small Cap - Pension 5A 49,800 November 01, 1998 John Hancock Small Cap Growth Fund 1,144,600 December 02, 1996 Raytheon 106,700 January 20, 2000 Parochial Employees Retirement System of Louisiana 24,200 August 21, 2000 Maritime Life Discovery Fund 71,600 May 11, 1994 Deere & Company 48,500 October 01, 2000 Variable Series Trust I-Small Cap Growth Portfolio 190,600 March 29, 1996 Indosuez North America Smaller Companies Portfolio 24,050 March 15, 1999 John Hancock Focused Relative Value Fund 5,000 November 01, 2000 Retirement Benefit Plan of Newspaper Drivers and Handlers 6,300 September 29, 2000 Local No. 372 with Detroit Newspaper Agency (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 2,704,800 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. PAGE 8 OF 11 PAGES 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 9 OF 11 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 12, 2001 Title: Vice President, Counsel & Secretary John Hancock Life Insurance Company By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 12, 2001 Title: Vice President & Treasurer John Hancock Subsidiaries, Inc. By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 12, 2001 Title: Treasurer The Berkeley Financial Group, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 12, 2001 Title: Senior Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 12, 2001 Title: Senior Vice President PAGE 10 OF 11 PAGES EXHIBIT A JOINT FILING AGREEMENT ---------------------- John Hancock Financial Services, Inc., John Hancock Life Insurance Company, John Hancock Subsidiaries, Inc., The Berkeley Financial Group and John Hancock Advisers, Inc. agree that the Initial Schedule 13G to which this Agreement is attached, relating to the Common Stock of Regent Communications, Inc. is filed on behalf of each of them. John Hancock Financial Services, Inc. By: /s/Barry J. Rubenstein ---------------------- Name: Barry J. Rubenstein Dated: February 12, 2001 Title: Vice President, Counsel & Secretary John Hancock Life Insurance Company By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 12, 2001 Title: Vice President & Treasurer John Hancock Subsidiaries, Inc. By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 12, 2001 Title: Treasurer The Berkeley Financial Group, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 12, 2001 Title: Senior Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 12, 2001 Title: Senior Vice President PAGE 11 OF 11 PAGES
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