-----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, QSlObHsuD3uMhrBNu2tPUAGbjt/swNDE7VdfyoNni3rwO1usWDrMGnqzNjL3b2mr Pk+4Se+0p/1HFfCgZVsWxg== 0001010521-06-000052.txt : 20060130 0001010521-06-000052.hdr.sgml : 20060130 20060130154052 ACCESSION NUMBER: 0001010521-06-000052 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20051130 FILED AS OF DATE: 20060130 DATE AS OF CHANGE: 20060130 EFFECTIVENESS DATE: 20060130 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN SOVEREIGN BOND FUND CENTRAL INDEX KEY: 0000045288 IRS NUMBER: 042528977 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-02402 FILM NUMBER: 06561851 BUSINESS ADDRESS: STREET 1: JOHN HANCOCK FUNDS STREET 2: 601 CONGRESS STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 617-663-3000 MAIL ADDRESS: STREET 1: C/O JOHN HANCOCK FUNDS STREET 2: 601 CONGRESS STREET CITY: BOSTON STATE: MA ZIP: 02210 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN BONDS DATE OF NAME CHANGE: 19930921 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN BOND TRUST DATE OF NAME CHANGE: 19910704 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN BOND FUND INC DATE OF NAME CHANGE: 19841225 NSAR-A 1 answer.fil SOVEREIGN BOND FUND PAGE 1 000 A000000 11/30/2005 000 C000000 0000045288 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 JOHN HANCOCK SOVEREIGN BOND FUND 001 B000000 811-2402 001 C000000 6176634362 002 A000000 601 CONGRESS STREET 002 B000000 BOSTON 002 C000000 MA 002 D010000 02210 002 D020000 2805 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 1 007 C010100 1 007 C020100 JOHN HANCOCK BOND FUND 007 C030100 N 008 A00AA01 JOHN HANCOCK ADVISERS, LLC 008 B00AA01 A 008 C00AA01 801-8124 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02199 008 D04AA01 7603 011 A00AA01 JOHN HANCOCK FUNDS, LLC 011 B00AA01 8-43582 011 C01AA01 BOSTON 011 C02AA01 MA 011 C03AA01 02199 011 C04AA01 7603 012 A00AA01 JOHN HANCOCK SIGNATURE SERVICES, INC. 012 B00AA01 84-1885 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02217 012 C04AA01 1000 012 A00AA02 THE CHARLES SCHWAB TRUST COMPANY 012 B00AA02 84- 012 C01AA02 SAN FRANCISCO 012 C02AA02 CA 012 C03AA02 94101 013 A00AA01 PRICEWATERHOUSECOOPERS LLP PAGE 2 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 SIGNATOR INVESTORS, INC. 014 B00AA01 8-13995 014 A00AA02 JOHN HANCOCK FUNDS, LLC 014 B00AA02 8-43582 015 A00AA01 THE BANK OF NEW YORK 015 B00AA01 C 015 C01AA01 NEW YORK 015 C02AA01 NY 015 C03AA01 10286 015 E01AA01 X 015 A00AA02 BANCO RIO DE LA PLATA 015 B00AA02 S 015 C01AA02 BUENOS AIRES 015 D01AA02 ARGENTINA 015 E04AA02 X 015 A00AA03 NATIONAL AUSTRALIA BANK LIMITED 015 B00AA03 S 015 C01AA03 MELBOURNE 015 D01AA03 AUSTRALIA 015 E04AA03 X 015 A00AA04 BANK AUSTRIA AG 015 B00AA04 S 015 C01AA04 VIENNA 015 D01AA04 AUSTRIA 015 E04AA04 X 015 A00AA05 BANQUE BRUXELLES LAMBERT 015 B00AA05 S 015 C01AA05 BRUSSELS 015 D01AA05 BELGIUM 015 E04AA05 X 015 A00AA06 BANKBOSTON N.A. 015 B00AA06 S 015 C01AA06 SAO PAULO 015 D01AA06 BRAZIL 015 E04AA06 X 015 A00AA07 ROYAL BANK OF CANADA 015 B00AA07 S 015 C01AA07 OTTOWA 015 D01AA07 CANADA 015 E04AA07 X 015 A00AA08 CITIBANK, N.A. (ECUADOR) 015 B00AA08 S 015 C01AA08 QUITO 015 D01AA08 ECUADOR 015 E04AA08 X 015 A00AA09 DANSKE BANK 015 B00AA09 S 015 C01AA09 COPENHAGEN PAGE 3 015 D01AA09 DENMARK 015 E04AA09 X 015 A00AA10 MERITA BANK PLC 015 B00AA10 S 015 C01AA10 HELSINKI 015 D01AA10 FINLAND 015 E04AA10 X 015 A00AA11 BNP PARABIS SECURITES SERVICES / CREDIT ARGIC 015 B00AA11 S 015 C01AA11 PARIS 015 D01AA11 FRANCE 015 E04AA11 X 015 A00AA12 DRESDNER BANK 015 B00AA12 S 015 C01AA12 FRANKFURT 015 D01AA12 GERMANY 015 E04AA12 X 015 A00AA13 BNP PARABIS SECURITIES SERVICES 015 B00AA13 S 015 C01AA13 ATHENS 015 D01AA13 GREECE 015 E04AA13 X 015 A00AA14 HSBC 015 B00AA14 S 015 C01AA14 HONG KONG 015 D01AA14 HONG KONG 015 E04AA14 X 015 A00AA15 HSBC 015 B00AA15 S 015 C01AA15 JAKARTA 015 D01AA15 INDONESIA 015 E04AA15 X 015 A00AA16 ALLIED IRISH BANKS, PLC 015 B00AA16 S 015 C01AA16 DUBLIN 015 D01AA16 IRELAND 015 E04AA16 X 015 A00AA17 INTESABCI S.P.A / BNP PARABIS SECURITES SERV 015 B00AA17 S 015 C01AA17 MILAN 015 D01AA17 ITALY 015 E04AA17 X 015 A00AA18 THE BANK OF TOKYO - MITSUBISHI - FUJI BANK LT 015 B00AA18 S 015 C01AA18 TOKYO 015 D01AA18 JAPAN 015 E04AA18 X 015 A00AA19 STANDARD CHARTERED BANK, DHAKA 015 B00AA19 S 015 C01AA19 DHAKA 015 D01AA19 BANGLADESH PAGE 4 015 E04AA19 X 015 A00AA20 BANQUE ST CAISSE D'EPARGNE DE L'ETAT 015 B00AA20 S 015 C01AA20 LUXEMBOURG 015 D01AA20 LUXEMBOURG 015 E04AA20 X 015 A00AA21 HONG KONG BANK MALAYSIA BERHAD 015 B00AA21 S 015 C01AA21 KUALA LUMPUR 015 D01AA21 MALAYSIA 015 E04AA21 X 015 A00AA22 BANCO NACIONAL DE MEXICO 015 B00AA22 S 015 C01AA22 MEXICO CITY 015 D01AA22 MEXICO 015 E04AA22 X 015 A00AA23 FORTIS BANK, N.V. 015 B00AA23 S 015 C01AA23 AMSTERDAM 015 D01AA23 NETHERLANDS 015 E04AA23 X 015 A00AA24 NATIONAL AUSTRALIA BANK NATIONAL NOMINEES LTD 015 B00AA24 S 015 C01AA24 WELLINGTON 015 D01AA24 NEW ZEALAND 015 E04AA24 X 015 A00AA25 DEN NORSKE BANK 015 B00AA25 S 015 C01AA25 OSLO 015 D01AA25 NORWAY 015 E04AA25 X 015 A00AA26 HSBC 015 B00AA26 S 015 C01AA26 MANILA 015 D01AA26 PHILIPPINES 015 E04AA26 X 015 A00AA27 BANCO COMERCIAL PORTGUES 015 B00AA27 S 015 C01AA27 LISBON 015 D01AA27 PORTUGAL 015 E04AA27 X 015 A00AA28 CESKLOVENSKA OBCHODNI BANKA 015 B00AA28 S 015 C01AA28 PRAGUE 015 D01AA28 CZECH REPUBLIC 015 E04AA28 X 015 A00AA29 THE UNITED OVERSEAS BANK LTD. - THE DEVEL BNK 015 B00AA29 S 015 C01AA29 SINGAPORE 015 D01AA29 SINGAPORE 015 E04AA29 X PAGE 5 015 A00AA30 STANDARD CHARTERED BANK, COLOMBO 015 B00AA30 S 015 C01AA30 COLOMBO 015 D01AA30 SRI LANKA 015 E04AA30 X 015 A00AA31 BANCO BILBAO VIZCAYA ARGENTANA - BANCO SANTA 015 B00AA31 S 015 C01AA31 MADRID 015 D01AA31 SPAIN 015 E04AA31 X 015 A00AA32 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA32 S 015 C01AA32 STOCKHOLM 015 D01AA32 SWEDEN 015 E04AA32 X 015 A00AA33 CREDIT SUISSE FIRST BOSTON 015 B00AA33 S 015 C01AA33 ZURICH 015 D01AA33 SWITZERLAND 015 E04AA33 X 015 A00AA34 HSBC 015 B00AA34 S 015 C01AA34 TAIPEI 015 D01AA34 TAIWAN 015 E04AA34 X 015 A00AA35 STANDARD CHARTERED BANK-BANKOK PUBLIC CO. 015 B00AA35 S 015 C01AA35 BANGKOK 015 D01AA35 THAILAND 015 E04AA35 X 015 A00AA36 OSMANLI BANKASI A.S. 015 B00AA36 S 015 C01AA36 ISTANBUL 015 D01AA36 TURKEY 015 E04AA36 X 015 A00AA37 THE BANK OF NEW YORK 015 B00AA37 S 015 C01AA37 LONDON 015 D01AA37 UNITED KINGDOM 015 E04AA37 X 015 A00AA38 BANK LEUMI LE - ISREAL B.M. 015 B00AA38 S 015 C01AA38 JERUSALEM 015 D01AA38 ISRAEL 015 E04AA38 X 015 A00AA39 CITIBANK, N.A. (CARACAS) 015 B00AA39 S 015 C01AA39 CARACAS 015 D01AA39 VENEZUELA 015 E04AA39 X 015 A00AA40 SOCIETE GENERALE JOHANASBURG -STAND. BNK OF S PAGE 6 015 B00AA40 S 015 C01AA40 CAPETOWN, PRETORIA 015 D01AA40 SOUTH AFRICA 015 E04AA40 X 015 A00AA41 STANDARD CHARTERED BANK, SHENZHEN 015 B00AA41 S 015 C01AA41 SHENZHEN 015 D01AA41 CHINA 015 E04AA41 X 015 A00AA42 CITITRUST COLOMBIA S.A. (COLOMBIA) 015 B00AA42 S 015 C01AA42 BOGOTA 015 D01AA42 COLOMBIA 015 E04AA42 X 015 A00AA43 CITIBANK BUDAPEST RT 015 B00AA43 S 015 C01AA43 BUDAPEST 015 D01AA43 HUNGARY 015 E04AA43 X 015 A00AA44 STANDARD CHARTERED BANK, SHANGHAI 015 B00AA44 S 015 C01AA44 SHANGHAI 015 D01AA44 CHINA 015 E04AA44 X 015 A00AA45 STANDARD CHARTERED BANK, KARACHI 015 B00AA45 S 015 C01AA45 KARACHI 015 D01AA45 PAKISTAN 015 E04AA45 X 015 A00AA46 CITIBANK, N.A. (PERU) 015 B00AA46 S 015 C01AA46 LIMA 015 D01AA46 PERU 015 E04AA46 X 015 A00AA47 BANK HANDLOWY W WARSZAWIE S.A. 015 B00AA47 S 015 C01AA47 WARSAW 015 D01AA47 POLAND 015 E04AA47 X 015 A00AA48 HSBC 015 B00AA48 S 015 C01AA48 PORT LOUIS 015 D01AA48 MAURITIUS 015 E04AA48 X 015 A00AA49 BARCLAYS BANK OF BOTSWANA LTD. 015 B00AA49 S 015 C01AA49 GARBORONE 015 D01AA49 BOTSWANA 015 E04AA49 X 015 A00AA50 CITIBANK, N.A. (EGYPT) 015 B00AA50 S PAGE 7 015 C01AA50 CAIRO 015 D01AA50 EGYPT 015 E04AA50 X 015 A00AA51 BARCLAYS BANK OF GHANA LTD. 015 B00AA51 S 015 C01AA51 ACCRA 015 D01AA51 GHANA 015 E04AA51 X 015 A00AA52 CITIBANK, N.A. (JORDAN) 015 B00AA52 S 015 C01AA52 AMMAN 015 D01AA52 JORDAN 015 E04AA52 X 015 A00AA53 BARCLAYS BANK PLC 015 B00AA53 S 015 C01AA53 LUSAKA 015 D01AA53 ZAMBIA 015 E04AA53 X 015 A00AA54 BARCLAYS BANK OF ZIMBABWE LIMITED 015 B00AA54 S 015 C01AA54 HARARE 015 D01AA54 ZIMBABWE 015 E04AA54 X 015 A00AA55 BANQUE COMERCIALE DU MORROC 015 B00AA55 S 015 C01AA55 RABAT 015 D01AA55 MOROCCO 015 E04AA55 X 015 A00AA56 VNESHTORGBANK - CREDIT SUISSE FIRST BOSTON 015 B00AA56 S 015 C01AA56 MOSCOW 015 D01AA56 RUSSIA 015 E04AA56 X 015 A00AA57 CESLOVENSKA OBCHODNI BANKA A.S 015 B00AA57 S 015 C01AA57 BRATISLAVA 015 D01AA57 SLOVAK REPUBLIC 015 E04AA57 X 015 A00AA58 THE DEPOSITORY AND CLEARING CENTRE 015 B00AA58 S 015 C01AA58 LONDON 015 D01AA58 UNITED KINGDOM 015 E04AA58 X 015 A00AA59 HSBC BANK MIDDLE EAST 015 B00AA59 S 015 C01AA59 MANAMA 015 D01AA59 BAHRAIN 015 E04AA59 X 015 A00AA60 PRIVREDNA BANKA ZAGREB 015 B00AA60 S 015 C01AA60 ZAGREB PAGE 8 015 D01AA60 CROATIA 015 E04AA60 X 015 A00AA61 HANSABANK LIMITED 015 B00AA61 S 015 C01AA61 TALLIN 015 D01AA61 ESTONIA 015 E04AA61 X 015 A00AA62 HSBC / DEUTSHE BANK AG 015 B00AA62 S 015 C01AA62 NEW DELHI 015 D01AA62 INDIA 015 E04AA62 X 015 A00AA63 HANSABANK LATVIA 015 B00AA63 S 015 C01AA63 RIGA 015 D01AA63 LATVIA 015 E04AA63 X 015 A00AA64 HSBC BANK MIDDLE EAST 015 B00AA64 S 015 C01AA64 BEIRUT 015 D01AA64 LEBANON 015 E04AA64 X 015 A00AA65 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA65 S 015 C01AA65 VILNIUS 015 D01AA65 LITHUANIA 015 E04AA65 X 015 A00AA66 HSBC BANK MIDDLE EAST 015 B00AA66 S 015 C01AA66 MUSCAT 015 D01AA66 OMAN 015 E04AA66 X 015 A00AA67 BANKAUSTRIA CREDITANSTALT SECURITIES S.A. 015 B00AA67 S 015 C01AA67 BUCHAREST 015 D01AA67 ROMANIA 015 E04AA67 X 015 A00AA68 BANK AUSTRIA CREDITSTALDT D.D. LJUBJANA 015 B00AA68 S 015 C01AA68 LJUBLJANA 015 D01AA68 SLOVENIA 015 E04AA68 X 015 A00AA69 THE BANK OF BERMUDA LIMITED 015 B00AA69 S 015 C01AA69 HAMILTON 015 D01AA69 BERMUDA 015 E04AA69 X 015 A00AA70 ING BANK 015 B00AA70 S 015 C01AA70 SOFIA 015 D01AA70 BULGARIA PAGE 9 015 E04AA70 X 015 A00AA71 BANKBOSTON N.A. 015 B00AA71 S 015 C01AA71 SANTIAGO 015 D01AA71 CHILE 015 E04AA71 X 015 A00AA72 ABN AMRO 015 B00AA72 S 015 C01AA72 ALMA-ATA 015 D01AA72 KAZAKSTAN 015 E04AA72 X 015 A00AA73 BARCLAYS BANK OF KENYA LTD. 015 B00AA73 S 015 C01AA73 NAIROBI 015 D01AA73 KENYA 015 E04AA73 X 015 A00AA74 ING BANK 015 B00AA74 S 015 C01AA74 KIEV 015 D01AA74 UKRAINE 015 E04AA74 X 015 A00AA75 BANKBOSTON N.A. 015 B00AA75 S 015 C01AA75 MONTEVIDEO 015 D01AA75 URUGUAY 015 E04AA75 X 015 A00AA76 BANCO BCT 015 B00AA76 S 015 C01AA76 SAN JOSE 015 D01AA76 COSTA RICA 015 E04AA76 X 015 A00AA77 SOCIETE GENERALE 015 B00AA77 S 015 C01AA77 ABIDJAN 015 D01AA77 IVORY COAST 015 E04AA77 X 015 A00AA78 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA78 S 015 C01AA78 PORTO NOVO 015 D01AA78 BENIN 015 E04AA78 X 015 A00AA79 CITIBANK N.A. 015 B00AA79 S 015 C01AA79 LA PAZ 015 D01AA79 BOLIVIA 015 E04AA79 X 015 A00AA80 SOCIETE GENEREALE DE BANQUES EN COTE D'IVORE 015 B00AA80 S 015 C01AA80 OAUGADOUGOU 015 D01AA80 BURKINA FASO 015 E04AA80 X PAGE 10 015 A00AA81 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA81 S 015 C01AA81 BISSEAU 015 D01AA81 GUINEA BISSEAU 015 E04AA81 X 015 A00AA82 CIBC TRUST & MERCHANT BANK JAMAICA 015 B00AA82 S 015 C01AA82 KINGSTON 015 D01AA82 JAMAICA 015 E04AA82 X 015 A00AA83 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA83 S 015 C01AA83 BAMAKO 015 D01AA83 MALI 015 E04AA83 X 015 A00AA84 HSBC BANK MALTA PLC 015 B00AA84 S 015 C01AA84 VALETTA 015 D01AA84 MALTA 015 E04AA84 X 015 A00AA85 STANDBIO BANK NAMBIA LIMITED 015 B00AA85 S 015 C01AA85 WINDHOEK 015 D01AA85 NAMBIA 015 E04AA85 X 015 A00AA86 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA86 S 015 C01AA86 NIAMEY 015 D01AA86 NIGER 015 E04AA86 X 015 A00AA87 HSBC BANK MIDDLE EAST 015 B00AA87 S 015 C01AA87 AL-QUADS 015 D01AA87 PALESTINE 015 E04AA87 X 015 A00AA88 BANKBOSTON N.A. 015 B00AA88 S 015 C01AA88 PANAMA 015 D01AA88 PANAMA 015 E04AA88 X 015 A00AA89 HSBC BANK MIDDLE EAST 015 B00AA89 S 015 C01AA89 DOHA 015 D01AA89 QUATAR 015 E04AA89 X 015 A00AA90 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA90 S 015 C01AA90 DAKAR 015 D01AA90 SENEGAL 015 E04AA90 X 015 A00AA91 BANQUES INTERNATIONALE ARABE DE TUNISE PAGE 11 015 B00AA91 S 015 C01AA91 TUNIS 015 D01AA91 TUNISA 015 E04AA91 X 015 A00AA92 HSBC BANK MIDDLE EAST 015 B00AA92 S 015 C01AA92 ABU DHABI 015 D01AA92 UAE 015 E04AA92 X 015 A00AA93 REPUBLIC BANK LIMITED 015 B00AA93 S 015 C01AA93 PORT OF SPAIN 015 D01AA93 TRINIDAD AND TOBAGO 015 E04AA93 X 015 A00AA94 HSBC 015 B00AA94 S 015 C01AA94 HANOI 015 D01AA94 VIETNAM 015 E04AA94 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 53 019 C00AA00 JOHNHANCOC 020 A000001 BEAR STEARNS 020 B000001 13-3299429 020 C000001 8 020 A000002 JP MORGAN CHASE 020 B000002 13-3224016 020 C000002 2 021 000000 10 022 A000001 BARCLAYS BANK PLC 022 B000001 13-3551367 022 C000001 1904965 022 D000001 93412 022 A000002 BANK OF AMERICA MONTGOMERY SEC 022 C000002 1877599 022 D000002 50307 022 A000003 MORGAN STANLEY 022 B000003 13-2655998 022 C000003 1750309 022 D000003 9124 022 A000004 UBS WARBURG 022 C000004 866316 022 D000004 157233 022 A000005 JP MORGAN CHASE 022 B000005 13-3224016 022 C000005 206732 022 D000005 150567 022 A000006 GREENWICH CAPITAL 022 C000006 154046 022 D000006 152752 PAGE 12 022 A000007 Washington Mutual 022 C000007 97629 022 D000007 65169 022 A000008 MERRILL LYNCH 022 B000008 13-5674085 022 C000008 86950 022 D000008 63665 022 A000009 GOLDMAN SACHS & CO. 022 B000009 13-5108880 022 C000009 58557 022 D000009 70891 022 A000010 LEHMAN BROTHERS 022 B000010 13-2726611 022 C000010 46350 022 D000010 58579 023 C000000 7214737 023 D000000 1020583 024 00AA00 N 025 D00AA01 0 026 A000000 Y 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A010100 4684 028 A020100 3810 028 A030100 0 028 A040100 14200 028 B010100 6088 028 B020100 3405 028 B030100 0 028 B040100 14157 028 C010100 5936 028 C020100 3819 028 C030100 0 028 C040100 17325 028 D010100 5186 028 D020100 3693 028 D030100 0 028 D040100 13826 028 E010100 5128 028 E020100 3443 028 E030100 0 028 E040100 18836 028 F010100 4583 028 F020100 3888 PAGE 13 028 F030100 0 028 F040100 18426 028 G010100 31605 028 G020100 22058 028 G030100 0 028 G040100 96770 028 H000100 23467 029 000100 Y 030 A000100 247 030 B000100 4.50 030 C000100 1.00 031 A000100 28 031 B000100 0 032 000100 94 033 000100 125 034 000100 Y 035 000100 105 036 A000100 Y 036 B000100 0 037 00AA00 N 038 00AA00 0 039 00AA00 N 040 00AA00 Y 041 00AA00 Y 042 A000100 0 042 B000100 0 042 C000100 100 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 0 043 000100 2221 044 000100 1691 045 00AA00 Y 046 00AA00 N 047 00AA00 Y 048 00AA00 0.000 048 A01AA00 1500000 048 A02AA00 0.500 048 B01AA00 500000 048 B02AA00 0.450 048 C01AA00 500000 048 C02AA00 0.400 048 D01AA00 0 048 D02AA00 0.000 048 E01AA00 0 048 E02AA00 0.000 048 F01AA00 0 048 F02AA00 0.000 048 G01AA00 0 PAGE 14 048 G02AA00 0.000 048 H01AA00 0 048 H02AA00 0.000 048 I01AA00 0 048 I02AA00 0.000 048 J01AA00 0 048 J02AA00 0.000 048 K01AA00 2500000 048 K02AA00 0.350 049 00AA00 N 050 00AA00 N 051 00AA00 N 052 00AA00 N 053 A00AA00 Y 053 B00AA00 Y 053 C00AA00 N 054 A00AA00 N 054 B00AA00 N 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 N 054 H00AA00 N 054 I00AA00 N 054 J00AA00 N 054 K00AA00 N 054 L00AA00 N 054 M00AA00 N 054 N00AA00 N 054 O00AA00 N 055 A00AA00 N 055 B00AA00 N 056 00AA00 Y 057 00AA00 N 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 1000 062 A000100 Y 062 B000100 0.0 062 C000100 0.0 062 D000100 3.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 PAGE 15 062 L000100 0.0 062 M000100 12.8 062 N000100 38.3 062 O000100 0.0 062 P000100 47.1 062 Q000100 0.0 062 R000100 0.2 063 A000100 0 063 B000100 7.6 064 A000100 N 064 B000100 Y 065 000100 N 066 A00AA00 N 067 00AA00 N 068 A00AA00 N 068 B00AA00 N 069 00AA00 N 070 A010100 Y 070 A020100 Y 070 B010100 N 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 N 070 D020100 N 070 E010100 Y 070 E020100 Y 070 F010100 N 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 Y 070 K010100 N 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 N 070 M020100 N 070 N010100 Y 070 N020100 Y 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 N 070 Q020100 N PAGE 16 070 R010100 N 070 R020100 N 071 A000100 1068658 071 B000100 1101066 071 C000100 1118020 071 D000100 96 072 A000100 6 072 B000100 30673 072 C000100 166 072 D000100 0 072 E000100 247 072 F000100 2860 072 G000100 0 072 H000100 0 072 I000100 1046 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A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 C000100 0 081 B000100 0 082 B000100 0 083 B000100 0 084 B000100 0 086 A010000 0 PAGE 18 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE ALFRED P. OUELLETE TITLE SR. ATTORNEY & ASS SECRETARY EX-99.77Q1 OTHR EXHB 2 amndmulticlassplanabcir.txt AMND MULTI CLASS PLAN CLASS A-R JOHN HANCOCK FUNDS Class A, Class B, Class C, Class I, and Class R Amended and Restated Multiple Class Plan Pursuant to Rule 18f-3 Each class of shares of each of the John Hancock Funds listed in Appendix A attached hereto (each the "Fund") will have the same relative rights and privileges and be subject to the same sales charges, fees and expenses, except as set forth below. The Board of Trustees/Directors, as the case may be, may determine in the future that other allocations of expenses (whether ordinary or extraordinary) or other services to be provided to a class of shares are appropriate and amend this Plan accordingly without the approval of shareholders of any class. Except as set forth in the Fund's prospectus and statement of additional information ("prospectus"), shares may be exchanged only for shares of the same class of another fund in the John Hancock group of funds. Class A Shares Class A Shares are sold at net asset value and subject to the initial sales charge schedule or contingent deferred sales charge and the minimum purchase requirements set forth in the Fund's prospectus. Class A Shares are subject to fees under the Fund's Class A Rule 12b-1 Distribution Plan on the terms set forth in the Fund's prospectus. The Class A Shareholders have exclusive voting rights, if any, with respect to the Class A Distribution Plan. Class A Shares shall be entitled to the shareholder services set forth from time to time in the Fund's prospectus with respect to Class A Shares. If permitted by disclosure in the Fund's prospectus, Class A Shares will convert to Class I Shares at any time after the initial date that Class A Shares commenced operations upon shareholder request if the requesting shareholder meets the criteria for investment in Class I Shares as set forth in the Fund's Class I prospectus. The conversion of Class A Shares to Class I Shares may be suspended if it is determined that the conversion constitutes or is likely to constitute a taxable event under federal income tax law. Class B Shares Class B Shares are sold at net asset value per share without the imposition of an initial sales charge. However, Class B shares redeemed within a specified number of years of purchase will be subject to a contingent deferred sales charge as set forth in the Fund's prospectus. Class B Shares are sold subject to the minimum purchase requirements set forth in the Fund's prospectus. Class B Shares are subject to fees under the Class B Rule 12b-1 Distribution Plan on the terms set forth in the Fund's prospectus. The Class B Shareholders of the Fund have exclusive voting rights, if any, with respect to the Fund's Class B Distribution Plan. Class B Shares shall be entitled to the shareholder services set forth from time to time in the Fund's prospectus with respect to Class B Shares. Class B Shares will automatically convert to Class A Shares of the Fund at the end of a specified number of years after the initial purchase date of Class B shares, except as provided in the Fund's prospectus. The initial purchase date for Class B shares acquired through reinvestment of dividends on Class B Shares will be deemed to be the date on which the original Class B shares were purchased. Such conversion will occur at the relative net asset value per share 1 of each class. Redemption requests placed by shareholders who own both Class A and Class B Shares of the Fund will be satisfied first by redeeming the shareholder's Class A Shares, unless the shareholder has made a specific election to redeem Class B Shares. The conversion of Class B Shares to Class A Shares may be suspended if it is determined that the conversion constitutes or is likely to constitute a taxable event under federal income tax law. Class C Shares Class C Shares are sold at net asset value and subject to the initial sales charge schedule set forth in the Fund's prospectus. In addition, Class C shares redeemed within one year of purchase will be subject to a contingent deferred sales charge as set forth in the Fund's prospectus. Class C Shares are sold subject to the minimum purchase requirements set forth in the Fund's prospectus. Class C Shares are subject to fees under the Class C Rule 12b-1 Distribution Plan on the terms set forth in the Fund's prospectus. The Class C Shareholders of the Fund have exclusive voting rights, if any, with respect to the Fund's Class C Distribution Plan. Class C Shares shall be entitled to the shareholder services set forth from time to time in the Fund's prospectus with respect to Class C Shares. Class I Shares Class I Shares are sold at net asset value and are not subject to an initial sales charge schedule or contingent deferred sales charge but are subject to the minimum purchase requirements set forth in the Fund's prospectus. Class I Shares are not subject to Rule 12b-1 distribution and/or service fees. Class I Shares shall be entitled to the shareholder services set forth from time to time in the Fund's prospectus with respect to Class I Shares. Class R Shares Class R Shares are sold at net asset value per share without the imposition of an initial sales charge. However, Class R shares redeemed within a specified number of years of purchase will be subject to a contingent deferred sales charge as set forth in the Fund's prospectus. Class R Shares are sold subject to the minimum purchase requirements set forth in the Fund's prospectus. Class R Shares are subject to fees under the Class R Rule 12b-1 Distribution Plan on the terms set forth in the Fund's prospectus. The Class R Shareholders of the Fund have exclusive voting rights, if any, with respect to the Fund's Class R Distribution Plan. Class R Shares shall be entitled to the shareholder services set forth from time to time in the Fund's prospectus with respect to Class R Shares. Class R Shares will automatically convert to Class A Shares of the Fund at the end of a specified number of years after the initial purchase date of Class R shares, except as provided in the Fund's prospectus. The initial purchase date for Class R shares acquired through reinvestment of dividends on Class R Shares will be deemed to be the date on which the original Class R shares were purchased. Such conversion will occur at the relative net asset value per share of each class. Redemption requests placed by shareholders who own both Class A and Class R Shares of the Fund will be satisfied first by redeeming the shareholder's Class A Shares, unless the shareholder has made a specific election to redeem Class R Shares. 2 The conversion of Class R Shares to Class A Shares may be suspended if it is determined that the conversion constitutes or is likely to constitute a taxable event under federal income tax law. 3 JOHN HANCOCK FUNDS Class A, Class B, Class C, Class I, and Class R APPENDIX A As of June 1, 2005: John Hancock Capital Series - -JH Classic Value Fund - -JH Large Cap Select Fund - -JH U.S. Global Leaders Growth Fund John Hancock Investment Trust - -JH Sovereign Investors Fund John Hancock Investment Trust II - -JH Small Cap Equity Fund John Hancock Sovereign Bond Fund - -JH Bond Fund John Hancock Strategic Series - -JH Strategic Income Fund 4 EX-99.77Q1 OTHR EXHB 3 chart.txt MULTI CLASS NAV Period Ended November 30, 2005 John Hancock Sovereign Bond Fund John Hancock Bond Fund Series - 1 NAV per share - Class C $14.88 NAV per share - Class I $14.88 NAV per share - Class R $14.88 Dividends from net investment income Per share Class C - 0.3100 Per share Class I - 0.3973 Per share Class R - 0.3491 EX-99.77Q1 OTHR EXHB 4 subadvisoryagrmnt.txt SUB-ADVISORY AGREEMENT Execution Copy JOHN HANCOCK FUNDS SUB-ADVISORY AGREEMENT AGREEMENT made this 31st day of December, 2005, among John Hancock Advisers, LLC, a Delaware limited liability company (the "Adviser"), Sovereign Asset Management LLC, a Delaware limited liability company (the "Sub-adviser"), and each of the trusts that is a signatory hereto (each, a "Trust" and together, as applicable, the "Trusts"). In consideration of the mutual covenants contained herein, the parties agree as follows: 1. APPOINTMENT OF SUB-ADVISER The Sub-adviser undertakes to act as investment sub-adviser to each of the Trusts and the series thereof (each a "Fund"), in each case listed on Appendix A to this Agreement, as such Appendix may be amended by the affected Trust(s), the Adviser and the Sub-adviser from time to time, and, subject to the supervision and control of the Trustees of each Trust and the terms of this Agreement, to manage the investment and reinvestment of the assets of the Funds. The Sub-adviser will be an independent contractor and will have no authority to act for or represent any Trust, any Fund or the Adviser in any way except as expressly authorized in this Agreement or another writing by the applicable Trust or the Adviser. The Sub-adviser and the Adviser are currently affiliates under the common control of Manulife Financial Corporation. 2. SERVICES TO BE RENDERED BY THE SUB-ADVISER TO THE TRUSTS AND THE FUNDS a. Subject always to the direction and control of the Trustees of each Trust, the Sub-adviser shall have investment discretion over the assets of each Fund and will manage the investments and determine the composition of these assets in accordance with the applicable Trust's registration statement, as amended. In fulfilling its obligations to manage the investments and reinvestments of the assets of each Fund, the Sub-adviser will: i. obtain and evaluate pertinent economic, statistical, financial and other information affecting the economy generally and individual companies or industries the securities of which are included in a Fund's portfolio or are under consideration for inclusion in a Fund's portfolio; ii. formulate and implement a continuous investment program for each Fund that is consistent with the investment objectives and related investment policies for such Fund as described in the applicable Trust's registration statement, as amended, copies of which shall be furnished to the Sub-adviser promptly upon amendment; iii. take whatever steps are necessary to implement these investment programs by the purchase and sale of securities, including the placing of orders for such purchases and sales; 1 iv. regularly report to the Trustees of each Trust and to the Adviser with respect to the implementation of these investment programs; and v. provide assistance to each Trust's custodian regarding the fair value of securities held by each Fund for which market quotations are not readily available. b. The Sub-adviser, at its expense, will furnish all necessary investment and management facilities, including salaries of personnel required for it to execute its duties faithfully. c. The Sub-adviser will select brokers and dealers to effect all transactions subject to the following conditions: The Sub-adviser will place all necessary orders with brokers, dealers, or issuers and will negotiate brokerage commissions, if applicable. The Sub-adviser is directed at all times to seek to execute brokerage transactions for each Fund in accordance with such policies or practices as may be established by the Trustees and described in the applicable Trust's registration statement, as amended, and consistent with its fiduciary obligation to seek best execution. Subject to policies established from time to time by the Board of Trustees of the Trusts, the Sub-adviser may pay a broker-dealer which provides research and brokerage services a higher spread or commission for a particular transaction than otherwise might have been charged by another broker-dealer if the Sub-adviser determines that the higher spread or commission is reasonable in relation to the value of the brokerage and research services that such broker-dealer provides, viewed in terms of either the particular transaction or the Sub-adviser's overall responsibilities with respect to accounts managed by the Sub-adviser. The Sub-adviser may use for the benefit of the Sub-adviser's other clients, or make available to companies affiliated with the Sub-adviser or to its directors for the benefit of their clients, any such brokerage and research services that the Sub-adviser obtains from brokers or dealers. d. On occasions when the Sub-adviser deems the purchase or sale of a security to be in the best interest of a Fund as well as other clients of the Sub-adviser, the Sub-adviser, to the extent permitted by applicable laws and regulations, may, but shall be under no obligation to, aggregate the securities to be purchased or sold to attempt to obtain a more favorable price or lower brokerage commissions and efficient execution. In such event, allocation of the securities so purchased or sold, as well as the expenses incurred in the transaction, will be made by the Sub-adviser in the manner the Sub-adviser considers to be the most equitable and consistent with its fiduciary obligations to each Fund and to its other clients. e. The Sub-adviser will maintain all accounts, books and records with respect to each Fund as are required of an investment sub-adviser of a registered investment company pursuant to the Investment Company Act of 1940, as amended (the "Investment Company Act") and Investment Advisers Act of 1940, as amended (the "Investment Advisers Act") and the rules thereunder. f. The Sub-adviser shall vote proxies relating to each Fund's investment securities in accordance with the applicable Trust's proxy voting policies and procedures, which provide that the Sub-adviser shall vote all proxies relating to securities held by a Fund and, subject to the applicable Trust's policies and procedures, shall use proxy voting policies and procedures adopted by the Sub-adviser in conformance with Rule 206(4)-6 2 under the Investment Advisers Act. The Sub-adviser shall review its proxy voting activities on a periodic basis with the Trustees and with the Adviser. 3. COMPENSATION OF SUB-ADVISER The Adviser will pay the Sub-adviser with respect to each Fund the compensation specified in Appendix A to this Agreement. 4. LIABILITY OF SUB-ADVISER Neither the Sub-adviser nor any of its directors, officers or employees shall be liable to the Adviser or any Trust or Fund for any error of judgment or mistake of law or for any loss suffered by the Adviser, Trust or Fund in connection with the matters to which this Agreement relates, except for losses resulting from willful misfeasance, bad faith or gross negligence in the performance of, or from the reckless disregard of, the duties of the Sub-adviser or any of its directors. 5. CONFLICTS OF INTEREST It is understood that trustees, officers, agents, members and shareholders of the Trusts are or may be interested in the Sub-adviser as trustees, officers, partners, shareholders, members or otherwise; that employees, agents, shareholders, members and partners of the Sub-adviser are or may be interested in a Trust as trustees, officers, shareholders, members or otherwise; that the Sub-adviser may be interested in the Trusts; and that the existence of any such dual interest shall not affect the validity hereof or of any transactions hereunder, except as otherwise provided in the Agreement and Declaration of Trust of the applicable Trust and the limited liability company agreement of the Sub-adviser, respectively, or by specific provision of applicable law. 6. REGULATION The Sub-adviser shall comply with all applicable laws and regulations in providing the services contemplated hereunder. Without limiting the foregoing, the Sub-adviser shall provide all information reasonably requested of it by the Board of Trustees of the Trusts in accordance with its duty to do so under Section 15(c) of the Investment Company Act and the Sub-adviser shall submit to all regulatory and administrative bodies having jurisdiction over the services provided pursuant to this Agreement any information, reports or other material which any such body, by reason of this Agreement, may request or require pursuant to applicable laws and regulations. 7. DURATION AND TERMINATION OF AGREEMENT This Agreement shall become effective with respect to each Fund on the later of (i) its execution, (ii) the date of the meeting of the Board of Trustees of the applicable Trust, at which meeting this Agreement is approved as described below and (iii) immediately following the close of business on December 31, 2005. The Agreement will continue in effect with respect to a Fund for a period more than two years from its effective date only so long as such continuance is specifically approved at least annually either by the Trustees of the applicable Trust or by a majority of the outstanding voting securities of the applicable Fund, provided that in either event such continuance shall also be approved by the vote of a majority of the Trustees of the applicable Trust 3 who are not interested persons (as defined in the Investment Company Act) of any party to this Agreement cast in person at a meeting called for the purpose of voting on such approval. Any required shareholder approval of the Agreement or of any continuance of the Agreement shall be effective with respect to any Fund if a majority of the outstanding voting securities of the series (as defined in Rule 18f-2(h) under the Investment Company Act) of shares of that Fund votes to approve the Agreement or its continuance, notwithstanding that the Agreement or its continuance may not have been approved by a majority of the outstanding voting securities of any other Fund affected by the Agreement. If any required shareholder approval of this Agreement or any continuance of the Agreement is not obtained, the Sub-adviser will continue to act as investment sub-adviser with respect to such Fund pending the required approval of the Agreement or its continuance or of a new contract with the Sub-adviser or a different adviser or sub-adviser or other definitive action; provided, that the compensation received by the Sub-adviser in respect of such Fund during such period is in compliance with Rule 15a-4 under the Investment Company Act. This Agreement may be terminated at any time, without the payment of any penalty, as to a Fund by the Trustees of the applicable Trust or by the vote of a majority of the outstanding voting securities of the applicable Fund, on sixty days' written notice to the Adviser and the Sub-adviser, or by the Adviser or Sub-adviser on sixty days' written notice to the applicable Trust and the other party. This Agreement will automatically terminate, without the payment of any penalty, in the event of its assignment (as defined in the Investment Company Act) or in the event the advisory agreement between the Adviser and the applicable Trust terminates for any reason. 8. PROVISION OF CERTAIN INFORMATION BY SUB-ADVISER The Sub-adviser will promptly notify the Adviser and the Trusts in writing of the occurrence of any of the following events: a. the Sub-adviser fails to be registered as an investment adviser under the Investment Advisers Act or under the laws of any jurisdiction in which the Sub-adviser is required to be registered as an investment adviser in order to perform its obligations under this Agreement; b. the Sub-adviser is served or otherwise receives notice of any action, suit, proceeding, inquiry or investigation, at law or in equity, before or by any court, public board or body, involving the affairs of any Trust; and c. any change in actual control or management of the Sub-adviser or the portfolio manager of any Fund. 9. SERVICES TO OTHER CLIENTS The Adviser understands, and has advised each Trust's Board of Trustees, that the Sub-adviser now acts, or may in the future act, as an investment adviser to fiduciary and other managed accounts and as investment adviser or sub-adviser to other investment companies. Further, the Adviser understands, and has advised each Trust's Board of Trustees, that the Sub-adviser and its affiliates may give advice and take action for other accounts, including investment companies, which differs from advice given or the timing or nature of action taken for a Fund. The Sub-adviser is not obligated to initiate 4 transactions for a Fund in any security that the Sub-adviser, its partners, affiliates or employees may purchase or sell for their own accounts or other clients. 10. CONSULTATION WITH OTHER SUB-ADVISERS As required by Rule 17a-10 under the Investment Company Act, the Sub-adviser is prohibited from consulting with the entities listed below concerning transactions for a Fund in securities or other assets: 1. other sub-advisers to the Fund 2. other sub-advisers to any other Fund 3. other sub-advisers to a Fund under common control with such Fund provided, however, the Sub-adviser may consult with any entity listed above that is an affiliate of the Sub-adviser. 11. ONGOING RESPONSIBILITIES OF THE ADVISER The Adviser understands, and has advised the Trustees of the Trusts, that during the term of this Agreement the Adviser shall retain responsibility for (i) providing the services set forth in Section 2 of this Agreement to the Trusts in the event the Sub-adviser fails, for whatever reason, to provide such services and (ii) ensuring that the services provided by the Sub-adviser to the Trusts pursuant to this Agreement are rendered in a manner such that the nature and quality of such services are at least comparable to the nature and quality of the investment advisory services heretofore rendered to the Trusts by the Adviser. Nothing in this Agreement is intended to limit or terminate the Adviser's responsibilities under the Advisory Agreement, which obligations, including the indemnification provisions thereof, shall remain in full force and effect. 12. AMENDMENTS TO THE AGREEMENT This Agreement (with the exception of Appendix A, which may be amended by the Adviser and the Sub-adviser from time to time) may be amended by the parties hereto only if such amendment is specifically approved by the vote of a majority of the Trustees of each affected Trust and by the vote of a majority of the Trustees of each affected Trust who are not interested persons of any party to this Agreement cast in person at a meeting called for the purpose of voting on such approval. Any required shareholder approval shall be effective with respect to any Fund if a majority of the outstanding voting securities of that Fund votes to approve the amendment, notwithstanding that the amendment may not have been approved by a majority of the outstanding voting securities of (a) any other Fund affected by the amendment or (b) all the Funds of the applicable Trust. No amendment shall be effective unless it is in writing and signed by all parties hereto. 13. ENTIRE AGREEMENT This Agreement contains the entire understanding and agreement of the parties. 14. HEADINGS The headings in the sections of this Agreement are inserted for convenience of reference only and shall not constitute a part hereof. 5 15. NOTICES All notices required to be given pursuant to this Agreement shall be delivered or mailed to the last known business address of the affected Trusts or applicable party in person or by registered mail or a private mail or delivery service providing the sender with notice of receipt. Notice shall be deemed given on the date delivered or mailed in accordance with this paragraph. 16. SEVERABILITY Should any portion of this Agreement for any reason be held to be void in law or in equity, this Agreement shall be construed, insofar as is possible, as if such portion had never been contained herein. 17. GOVERNING LAW The provisions of this Agreement shall be construed and interpreted in accordance with the laws of The Commonwealth of Massachusetts, or any of the applicable provisions of the Investment Company Act. To the extent that the laws of The Commonwealth of Massachusetts, or any of the provisions in this Agreement, conflict with applicable provisions of the Investment Company Act, the latter shall control. 18. LIMITATION OF LIABILITY The Agreement and Declaration of Trust of each Trust, a copy of which, together with all amendments thereto (the "Declaration"), is on file in the office of the Secretary of The Commonwealth of Massachusetts, provides that the name of the applicable Trust refers to the Trustees under the Declaration collectively as Trustees, but not as individuals or personally; and no Trustee, shareholder, officer, employee or agent of the Trust shall be held to any personal liability, nor shall resort be had to their private property, for the satisfaction of any obligation or claim, in connection with the affairs of the Trust or any Fund thereof, but only the assets belonging to the Trust, or to the particular Fund with respect to which such obligation or claim arose, shall be liable. 19. CONFIDENTIALITY OF FUND HOLDINGS The Sub-adviser agrees to treat the portfolio security positions of each Fund as confidential information in accordance with the applicable Trust's "Policy Regarding Disclosure of Fund Holdings," as such policy may be amended from time to time, and to prohibit its employees from trading on any such confidential information. The policy and any such amendment shall not be binding upon the Sub-adviser until a copy has been provided to the Sub-adviser. 20. COMPLIANCE Upon execution of this Agreement, the Sub-adviser shall provide the Adviser and the Trusts with the Sub-adviser's written policies and procedures ("Compliance Policies") as required by Rule 206(4)-7 under the Investment Advisers Act. Throughout the term of this Agreement, the Sub-adviser shall 6 promptly submit to the affected Trust and the Adviser: (i) any material changes to the Compliance Policies, (ii) notification of the commencement of any regulatory examination of the Sub-adviser and documentation describing the results of any such examination and of any periodic testing of the Compliance Policies, and (iii) notification of any material compliance matter that relates to the services provided by the Sub-adviser to any Trust, including but not limited to any material violation of the Compliance Policies or of the Sub-adviser's code of ethics. Throughout the term of this Agreement, the Sub-adviser shall provide the Adviser and the Trust with any certifications, information and access to personnel and resources (including those resources that will permit testing of the Compliance Policies by the Adviser) that the Trust and/or the Adviser may reasonably request to enable the Trusts to comply with Rule 38a-1 under the Investment Company Act. (THE REMAINDER OF THIS SPACE HAS BEEN INTENTIONALLY LEFT BLANK) 7 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed under seal by their duly authorized officers as of the date first mentioned above. JOHN HANCOCK ADVISERS, LLC By: /s/John G. Vrysen Name: John G. Vrysen Title: Executive Vice President and Chief Financial Officer SOVEREIGN ASSET MANAGEMENT LLC By: /s/Barry H. Evans Name: Barry H. Evans Title: Senior Vice President and Chief Operating Officer 8 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed under seal by their duly authorized officers as of the date first mentioned above. JOHN HANCOCK CURRENT INTEREST on behalf of John Hancock Money Market Fund John Hancock U.S. Government Cash Reserve JOHN HANCOCK SOVEREIGN BOND FUND on behalf of John Hancock Bond Fund JOHN HANCOCK STRATEGIC SERIES on behalf of John Hancock Strategic Income Fund JOHN HANCOCK BOND TRUST on behalf of John Hancock Government Income Fund John Hancock High Yield Fund John Hancock Investment Grade Bond Fund JOHN HANCOCK TAX-EXEMPT SERIES FUND on behalf of John Hancock Massachusetts Tax-Free Income Fund John Hancock New York Tax-Free Income Fund JOHN HANCOCK CALIFORNIA TAX-FREE INCOME FUND JOHN HANCOCK MUNICIPAL SERIES TRUST on behalf of John Hancock High Yield Municipal Bond Fund John Hancock Tax-Free Bond Fund JOHN HANCOCK EQUITY TRUST on behalf of John Hancock Growth Trends Fund John Hancock Technology Leaders Fund 9 JOHN HANCOCK INVESTMENT TRUST II on behalf of John Hancock Financial Industries Fund John Hancock Regional Bank Fund John Hancock Small Cap Equity Fund JOHN HANCOCK INVESTMENT TRUST III on behalf of John Hancock Mid Cap Growth Fund JOHN HANCOCK WORLD FUND on behalf of John Hancock Health Sciences Fund JOHN HANCOCK SERIES TRUST on behalf of John Hancock Focused Equity Fund John Hancock Mid Cap Equity Fund John Hancock Multi Cap Growth Fund John Hancock Real Estate Fund John Hancock Small Cap Growth Fund John Hancock Technology Fund JOHN HANCOCK INVESTMENT TRUST on behalf of John Hancock Balanced Fund John Hancock Large Cap Equity Fund John Hancock Large Cap Intrinsic Value Fund John Hancock Small Cap Intrinsic Value Fund John Hancock Sovereign Investors Fund JOHN HANCOCK PATRIOT PREFERRED DIVIDEND FUND JOHN HANCOCK PREFERRED INCOME FUND III JOHN HANCOCK PATRIOT SELECT DIVIDEND TRUST 10 JOHN HANCOCK PATRIOT GLOBAL DIVIDEND FUND JOHN HANCOCK PREFERRED INCOME FUND JOHN HANCOCK PREFERRED INCOME FUND II JOHN HANCOCK PATRIOT PREMIUM DIVIDEND FUND I JOHN HANCOCK BANK AND THRIFT OPPORTUNITY FUND JOHN HANCOCK PATRIOT PREMIUM DIVIDEND FUND II JOHN HANCOCK INCOME SECURITIES TRUST JOHN HANCOCK INVESTORS TRUST JOHN HANCOCK TAX-ADVANTAGED DIVIDEND INCOME FUND Executed on behalf of each Trust and its relevant Series referenced above: By: /s/Keith F. Hartstein Name: Keith F. Hartstein Title: President and Chief Executive Officer 11 APPENDIX A The Sub-adviser shall serve as investment sub-adviser for each Fund listed below. The Adviser will pay the Sub-adviser, as full compensation for all services provided under this Agreement with respect to each Fund, the fee computed separately for such Fund at an annual rate as follows (the "Sub-adviser Fee"): Trust and Fund Percentage of Average Daily Net Assets (See attachment to Appendix A) The Sub-adviser Fee for each Fund shall be accrued for each calendar day, and the sum of the daily fee accruals shall be paid monthly to the Sub-adviser within 30 calendar days of the end of each month. The daily fee accruals will be computed by multiplying the fraction of one over the number of calendar days in the year by the applicable Sub-adviser Fee, and multiplying this product by the net assets of the Fund. The Adviser shall provide the Sub-adviser with such information as the Sub-adviser may reasonably request supporting the calculation of the fees paid to it hereunder. Fees shall be paid either by wire transfer or check, as directed by the Sub-adviser. If, with respect to any Fund, this Agreement becomes effective or terminates, or if the manner of determining the applicable Sub-adviser Fee changes, before the end of any month, the fee (if any) for the period from the effective date to the end of such month or from the beginning of such month to the date of termination or from the beginning of such month to the date of such change, as the case may be, shall be pro rated according to the proportion which such period bears to the full month in which such effectiveness or termination or change occurs. A-1
- --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Balanced Fund to $2 bil > $2 bil Subadvisory 0.300% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Bond Fund to $1.5 $1.5 - $2.0 - > $2.5 bil bil 2.0 bil 2.5 bil Subadvisory 0.200% 0.125% 0.100% 0.100% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- California Tax-Free Income Fund to $500m next $500m > $1 bil Subadvisory 0.200% 0.150% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Financial Industries Fund to $500m next $500m next bil > $2 bil Subadvisory 0.400% 0.300% 0.250% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Focused Equity Fund to $800m > $800m Subadvisory 0.350% 0.300% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Government Income Fund to $300m next $300m >$600m Subadvisory 0.200% 0.150% 0.100% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Growth Trends Fund to $2.4 bil > $2.4 bil Subadvisory 0.350% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Health Sciences Fund to $200m > $200m Subadvisory 0.450% 0.400% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- High Yield Fund to $75m next $75m $150m-$2.5b $2.5b-$5.0b > $5 bil Subadvisory 0.275% 0.275% 0.225% 0.150% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- High Yield Municipal Bond Fund to $75m next $75m > $150m Subadvisory 0.200% 0.200% 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Investment Grade Bond Fund to $1.5 bil > $1.5 bil Subadvisory 0.200% 0.100% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Large Cap Equity Fund to $3 bil > $3 bil Subadvisory 0.325% 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Large Cap Intrinsic Value Fund All Assets Advisory 0.750% Subadvisory 0.325% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- -----------
- --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- MA Tax-Free Income Fund to $250m next $250m $500m-$1 bil next $250m > $1.25 bil Subadvisory 0.200% 0.200% 0.150% 0.150% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Mid Cap Equity Fund to $500m next $500m > $1 bil Subadvisory 0.350% 0.300% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Mid Cap Growth Fund to $500m next $500m > $1 bil Subadvisory 0.350% 0.300% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Money Market Fund to $500m next $250m next $250m next $500m next $500m next $500m > $2.5 bil Subadvisory 0.050% 0.020% 0.020% 0.020% 0.020% 0.020% 0.020% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Multi Cap Growth Fund to $750m > $750m Subadvisory 0.350% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- New York Tax-Free Income Fund to $250m next $250m $500m-$1 bil next $250m > $1.25 bil Subadvisory 0.200% 0.200% 0.150% 0.150% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Real Estate Fund to $1.5 bil > $1.5 bil Subadvisory 0.350% 0.300% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Regional Bank Fund to $500m next $500m next bil > $2 bil Subadvisory 0.400% 0.300% 0.250% 0.250% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Small Cap Equity Fund to $1 bil > $1 bil Subadvisory 0.450% 0.400% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Small Cap Growth Fund to $1.5 bil > $1.5 bil Subadvisory 0.450% 0.400% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Small Cap Intrinsic Value Fund to $500m next $500m > $1 bil Subadvisory 0.500% 0.450% 0.400% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Sovereign Investors Fund to $750m next $750m next bil > $2.5 bil Subadvisory 0.325% 0.250% 0.250% 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- -----------
- --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Strategic Income Fund to $100m $100-$250m $250-$500m $500-$650m $650m-$1bil >$1bil Subadvisory 0.275% 0.275% 0.275% 0.200% 0.200% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Tax-Free Bond Fund to $500m next $500m > $1 bil Subadvisory 0.200% 0.150% 0.100% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Technology Fund to $100m next $700m > $800m Subadvisory 0.450% 0.400% 0.350% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Technology Leaders Fund All Assets Advisory 1.000% Subadvisory 0.400% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- US Gov't Cash Reserve to $500m next $250m next $250m next $500m next $500m next $500m > $2.5 bil Subadvisory 0.050% 0.020% 0.020% 0.020% 0.020% 0.020% 0.020% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Bank & Thrift Opportunity Fund All Assets Subadvisory 0.400% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Income Securities Trust to $150m next $50m next $100m > $300m Subadvisory 0.200% 0.200% 0.200% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Investors Trust to $150m next $50m next $100m > $300m Subadvisory 0.200% 0.200% 0.200% 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- JH Preferred Income Fund All Assets Subadvisory 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- JH Preferred Income Fund II All Assets Subadvisory 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- JH Preferred Income Fund III All Assets Subadvisory 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- JH Tax-Advantaged Dividend Income All Assets Fund Subadvisory 0.150% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Patriot Global Dividend Fund All Assets Subadvisory 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- -----------
- --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Patriot Preferred Dividend Fund All Assets Subadvisory 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Patriot Premium Dividend Fund I All Assets Subadvisory 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Patriot Premium Dividend Fund II All Assets Subadvisory 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- ----------- Patriot Select Dividend Trust All Assets Subadvisory 0.200% - --------------------------------- ------------ ----------- ---------- ----------- ----------- ---------- ----------- -----------
EX-99.77Q1 OTHR EXHB 5 subcustodian.txt SUB CUSTODIAN Global Custody Network The Bank of New York's network of subcustodians extends to 101 markets worldwide, the largest number of markets offered by any custodian. We continually review our network to ensure that it reflects the changing global investment decisions of our clients. The Bank's dedicated, regional network management team monitors local economic, political, regulatory, and industry-related events, and keeps clients apprised of changes in the investment climate of each market. Banks are selected for the network based on a variety of criteria, such as compliance with worldwide regulatory requirements, competitive pricing, general market reputation, SWIFT message capabilities, securities lending support, credit ratings, overall banking relationship with The Bank of New York and ability to consistently meet our clients' needs. Each bank must meet a set of stringent performance standards prior to selection, which are reexamined during quarterly reviews and frequent on-site visits, ensuring that our clients are uniformly provided with the best subcustodian in each market. In its last three annual reviews of subcustodian networks, GSCS BenchmarksTM has ranked our network among the top two in both the Overall Network and Major Markets categories. Our list of subcustodians is as follows: Country/ Market Subcustodian(s) Country/ Market Subcustodian(s) Argentina Banco Rio de la Plata Indonesia HSBC Australia National Australia Bank Ltd. Ireland Allied Irish Banks, plc Austria Bank Austria AG Israel Bank Leumi LE - Israel B.M. Bahrain HSBC Bank Middle East Italy IntesaBCI S.p.A / BNP Paribas Securities Services Bangladesh Standard Chartered Bank Ivory Coast Soci,t, G,n,rale - Abidjan Belgium Banque Bruxelles Lambert Jamaica CIBC Trust & Merchant Bank Jamaica Ltd. Benin Soci,t, G,n,rale de Banques en C"te d'Ivoire Japan The Bank of Tokyo-Mitsubishi Limited/ The Fuji Bank, Limited Bermuda Bank of Bermuda Limited Jordan HSBC Bank Middle East Bolivia Citibank, N.A. Kazakhstan ABN/AMRO Botswana Barclays Bank of Botswana Ltd. Kenya Barclays Bank of Kenya Ltd. Brazil BankBoston, N.A. Latvia Hansabanka Limited Bulgaria ING Bank Lebanon HSBC Bank Middle East Burkina Faso Soci,t, G,n,rale de Banques en C"te d'Ivoire Lithuania Vilniaus Bankas Canada Royal Bank of Canada Luxembourg Banque et Caisse d'Epargne de l'Etat Chile BankBoston, N.A. Malaysia HongKong Bank Malaysia Berhad China Standard Chartered Bank Mali Soci,t, G,n,rale de Banques en C"te d'Ivoire Colombia Cititrust Colombia S.A. Malta HSBC Bank Malta p.l.c. Costa Rica Banco BCT Mauritius HSBC Croatia Privredna Banka Zagreb d.d. Mexico Banco Nacional de Mexico Cyprus Bank of Cyprus Morocco Banque Commerciale du Maroc Czech Republic Ceskoslovenska Obchodni Banka A.S. Namibia Stanbic Bank Namibia Limited Denmark Danske Bank NASDAQ Europe Banque Bruxelles Lambert Ecuador Citibank, N.A. Netherlands Fortis Bank (Nederland) N.V. Egypt Citibank, N.A. New Zealand National Australia Bank Ltd. (National Nominees Ltd.) Estonia Hansabank Limited Niger Soci,t, G,n,rale de Banques en C"te d'Ivoire Euromarket Clearstream Nigeria Stanbic Merchant Bank Nigeria Limited Euromarket Euroclear Norway Den norske Bank ASA Finland Merita Bank plc Oman HSBC Bank Middle East France BNP Paribas Securities Services / Credit Agricole Indosuez Pakistan Standard Chartered Bank Germany Dresdner Bank AG Palestinian Autonomous Area HSBC Bank Middle East Ghana Barclays Bank of Ghana Ltd. Panama BankBoston, N.A. Greece BNP Paribas Securities Services Peru Citibank, N.A. Guinea Bissau Soci,t, G,n,rale de Banques en C te d'Ivoire Philippines HSBC Hong Kong HSBC Poland Bank Handlowy W Warszawie S.A. Hungary Citibank Budapest Rt. Portugal Banco Comercial Portugu^s Iceland Landsbanki Islands Qatar HSBC Bank Middle East Country/ Market Subcustodian(s) Country/ Market Subcustodian(s) India HSBC / Deutsche Bank AG Romania ING Bank Russia Vneshtorgbank (Min Fin Bonds only)/ Credit Suisse First Boston AO Togo Soci,t, G,n,rale de Banques en C"te d'Ivoire Senegal Soci,t, G,n,rale de Banques en C"te d'Ivoire Trinidad & Tobago Republic Bank Limited Singapore United Overseas Bank Ltd/ The Development Bank of Singapore Ltd. Tunisia Banque Internationale Arabe de Tunisie Slovak Republic Ceskoslovenska Obchodni Banka, a.s. Turkey Osmanli Bankasi A.S. (Ottoman Bank) Slovenia Bank Austria Creditanstalt d.d. Ljubljana U.A.E. HSBC Bank Middle East, Dubai South Africa Soci,t, G,n,rale, Johannesburg / The Standard Bank of South Africa Limited Ukraine ING Bank South Korea Standard Chartered Bank United Kingdom The Bank of New York / The Depository & Clearing Centre (DCC) Spain Banco Bilbao Vizcaya Argentaria S.A. (BBVA) / Banco Santander Central Hispano (BSCH) United States The Bank of New York Sri Lanka Standard Chartered Bank Uruguay BankBoston, N.A. Swaziland Standard Bank Swaziland Ltd. Venezuela Citibank, N.A. Sweden Skandinaviska Enskilda Banken Vietnam HSBC Switzerland Credit Suisse First Boston Zambia Barclays Bank of Zambia Ltd. Taiwan HSBC Zimbabwe Barclays Bank of Zimbabwe Ltd. Thailand Standard Chartered Bank/ Bangkok Bank Public Company Ltd. Finalizing Markets Evaluating: Armenia Guatemala Nicaragua Barbados Honduras Saudi Arabia El Salvador Kuwait Uganda Georgia Macedonia Monitoring Albania Bhutan Lesotho Mozambique Tajikistan (Emerging): Algeria Cambodia Madagascar Myanmar Tanzania Angola Dominican Republic Malawi Nepal Turkmenistan Azerbaijan Iran Moldova Paraguay Uzbekistan Belarus Kyrgyzstan Mongolia Syria Yugoslavia For more information about the Bank's network of subcustodians, please contact any of our regional departments: New York New York Singapore Brussels Timothy Faselt Andrea Christenson Francis Braeckevelt Floriane van Schevensteen Group Manager Regional Manager Regional Manager Regional Manager Global Network Mgmt. Americas Asia/Pacific Europe, Middle East & Africa (212) 635-6486 (212) 635-6458 (65) 432-0231 (32-2) 545-8264 New York June 2001 Global Network Management Global Custody Network GSCS BenchmarksTM is a registered trademark of GSCS Benchmarks Ltd., a consulting firm based in London. GlobalNetwork.doc 07/18/01 9:18 AM New York June 2001 Global Network Management - - over - -----END PRIVACY-ENHANCED MESSAGE-----