-----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, Oa7dvytmtbxLb5c+NU8kPF8umVuvrgTGk65nb0HWofh4JpCAMZka4B20P0rPezqI ah4GK2nJ9Um1kxmNOuVeog== 0001010521-00-000173.txt : 20000211 0001010521-00-000173.hdr.sgml : 20000211 ACCESSION NUMBER: 0001010521-00-000173 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000201 FILED AS OF DATE: 20000210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHILLIPS R H INC CENTRAL INDEX KEY: 0000925712 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 680313739 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-26276 FILM NUMBER: 531987 BUSINESS ADDRESS: STREET 1: 26836 COUNTY RD STREET 2: SUITE 12A CITY: ESPARTO STATE: CA ZIP: 95627 BUSINESS PHONE: 9166623215 MAIL ADDRESS: STREET 1: 26836 COUNTY ROAD STREET 2: SUITE 12A CITY: ESPARTO STATE: CA ZIP: 95627 COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0000736260 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: JOHN HANCOCK PLACE STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02117 MAIL ADDRESS: STREET 1: JOHN HANCOCK PLACE STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02117 3 1 R.H. PHILLIPS, INC. U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Form 3 ------------------------------ OMB Number 3235-0104 Expires: December 31, 2001 Estimated average burden hours per response . . . . 0.5 ------------------------------ Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person 2. Date of Event Re- 4. Issuer Name and Ticker or Trading Symbol quiring Statement John Hancock Financial Services, Inc. (Month/Day/Year) R.H. Phillips, Inc. ("RHPS") February 1, 2000 - ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. IRS or Social Se- 5. Relationship of Reporting Person to Issuer 6. If Amendment, curity Number of (Check all applicable) Date of P.O. Box 111 Reporting Person _____ Director __X__ 10% Owner Original (Month/Day/Year) _________________________________________ (Voluntary) _____ Officer (give _____ Other (specify (Street) title below) below) 04-3483032 _______________________ 7. Individual or Joint/Group Filing (Check Applicable Line) X Form Filed by One --- Reporting Person Form Filed by More than Boston, MA 02117 --- One Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) Table 1 -- Non-Derivative Securities Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (D) or Indirect (Instr. 5) (I) (Instr.5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 319,924 I Owned by JHLICO fn. 1 - ------------------------------------------------------------------------------------------------------------------------------------ 12% Senior Redeemable Preferred Stock (non-voting) fn. 2 500,000 I Owned by JHLICO fn. 1 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly (Over) *If the form is filed by more than one reporting person, see Instructions 5 (b) (v) SEC 1473 (3/99) FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1.Title of Derivative Security 2. Date Exer- 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Securities Underlying sion or ship Beneficial Ownership Expiration Derivative Security Exercise Form of (Instr. 5) Date (Instr. 4) Price of Deri- (Month/Day/ Deri- vative Year) vative Security Security ----------------------------------------------- Date Expira- Amount Direct Exer- tion or (D) or cisable Date Title Number Indirect of (I) Shares (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Warrants 3/27/97 3/27/06 Common Stock 1,346,788 $4 per share fn. 3 I Owned by JHLICO fn. 1 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: fn. 1 Effective February 1, 2000 John Hancock Financial Services, Inc. became the parent of John Hancock Life Insurance Company ("JHLICO"), formerly named John Hancock Mutual Life Insurance Company. fn. 2 Dividends are payable semi-annually, on March 15 and September 15 of each year, and are cumulative. fn. 3 The warrants entitle the Reporting Person to purchase an equivalent number of shares of the Issuer's Common Stock. The number and price of the securities issuable upon exercise shall be adjusted pursuant to certain anti-dilution provisions. Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). JOHN HANCOCK FINANCIAL SERVICES, INC. By:/s/Barry J. Rubenstein February 10, 2000 - ------------------------------------- ----------------- Barry J. Rubenstein Date Vice President, Counsel, & Secretary Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not to respond unless the form displays a currently valid OMB control number. Page 2 SEC 1473 (8/92)
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