-----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, N49XdwM4xcoGkWcayMiejcInuS+S9G8Ipi4oMGmTQcfy5g6vnsBvE+YvxhnmqSn8 Kj6NkCDf0QY6PKpst5aAcQ== 0001010521-02-000083.txt : 20020414 0001010521-02-000083.hdr.sgml : 20020414 ACCESSION NUMBER: 0001010521-02-000083 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 GROUP MEMBERS: JOHN HANCOCK ADVISERS, LLC GROUP MEMBERS: JOHN HANCOCK FINANCIAL SERVICES, INC. GROUP MEMBERS: JOHN HANCOCK LIFE INSURANCE COMPANY GROUP MEMBERS: JOHN HANCOCK SUBSIDIARIES, LLC GROUP MEMBERS: THE BERKELEY FINANCIAL GROUP, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLX TECHNOLOGY INC CENTRAL INDEX KEY: 0000850579 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943008334 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-56235 FILM NUMBER: 02537236 BUSINESS ADDRESS: STREET 1: 390 POTRERO AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4087749060 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 plx.txt PLX TECHNOLOGY 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 PLX Technology Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 693417107 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ 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. 693417107 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, LLC - ---------- ------------------------------------------------------------------------------------------------------------- 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. 693417107 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, LLC - ---------- ------------------------------------------------------------------------------------------------------------- 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. 693417107 13G Page 4 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). John Hancock Subsidiaries, LLC 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, LLC - ---------- ------------------------------------------------------------------------------------------------------------- 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. 693417107 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, LLC 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, LLC - ---------- ------------------------------------------------------------------------------------------------------------- 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. 693417107 13G Page 6 of 11 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). John Hancock Advisers, LLC 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 1,429,150 -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With 1,429,150 -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,429,150 - ---------- ------------------------------------------------------------------------------------------------------------- 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 6.2% - ---------- ------------------------------------------------------------------------------------------------------------- 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: -------------- PLX Technology Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 390 Potrero Avenue Sunnyvale, CA 94086 Item 2(a) Name of Person Filing: --------------------- This filing is made on behalf of John Hancock Financial Services, Inc. ("JHFS"), JHFS's direct, wholly-owned subsidiary, John Hancock Life Insurance Company ("JHLICO"), JHLICO's direct, wholly-owned subsidiary, John Hancock Subsidiaries LLC ("JHS"), JHS's direct, wholly-owned subsidiary, The Berkeley Financial Group, LLC ("TBFG") and TBFG's wholly-owned subsidiary, John Hancock Advisers, LLC ("JHA"). Item 2(b) Address of the Principal Offices: -------------------------------- The principal business offices of JHFS, JHLICO and JHS 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. JHFS, JHS, 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: ------------- 693417107 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: ------------------------------------------------------------ JHFS: (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. PAGE 7 OF 11 PAGES (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). JHS: (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 1,429,150 shares of Common Stock. Through their parent-subsidiary relationship to JHA, JHFS, JHLICO, JHS and TBFG have indirect, beneficial ownership of these same shares. (b) Percent of Class: 6.2% ---------------- (c) (i) sole power to vote or to direct the vote: JHA has sole power to vote or to direct the vote of 1,429,150 shares of Common Stock under the Advisory Agreements as follows: Number Date of Advisory Fund Name of Shares Agreement --------- --------- --------- John Hancock Small Cap Growth Fund 910,550 December 02, 1996 Parochial Employees Retirement System of Louisiana 17,750 August 21, 2000 Retirement Benefit Plan of Newspaper Drivers and Handlers Local No. 372 with Detroit Newspaper Agency 4,100 September 29, 2000 Deere & Company 30,600 October 01, 2000 Maritime Life Discovery Fund 55100 May 11, 1994 Verizon Small Cap Growth 189800 December 21, 2001 JH Var Series Small Cap Growth 120000 March 29, 1996 JH Small Cap Growth Investment Class Account 2J 7750 November 1, 2000 Plumbers Union Local 12 Pension Fund 2600 December 20, 2000 Verizon Savings Trust SCG 57500 December 21, 2001 Small Cap Growth - 5A 33400 November 1, 2000 (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 1,429,150 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. PAGE 8 OF 11 PAGES 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 11, 2002 Title: Vice President, Counsel & Secretary John Hancock Life Insurance Company By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 11, 2002 Title: Vice President & Treasurer John Hancock Subsidiaries, LLC By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 11, 2002 Title: Treasurer The Berkeley Financial Group, LLC By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 11, 2002 Title: Senior Vice President John Hancock Advisers, LLC By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 11, 2002 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, LLC, The Berkeley Financial Group, LLC and John Hancock Advisers, LLC agree that the Initial Schedule 13G to which this Agreement is attached, relating to the Common Stock of PLX Technology, 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 11, 2002 Title: Vice President, Counsel & Secretary John Hancock Life Insurance Company By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 11, 2002 Title: Vice President & Treasurer John Hancock Subsidiaries, LLC By: /s/Gregory P. Winn ------------------ Name: Gregory P. Winn Dated: February 11, 2002 Title: Treasurer The Berkeley Financial Group, LLC By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 11, 2002 Title: Senior Vice President John Hancock Advisers, LLC By: /s/Susan S. Newton ------------------ Name: Susan S. Newton Dated: February 11, 2002 Title: Senior Vice President PAGE 11 OF 11 PAGES
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