8-K 1 jhfs.txt JOHN HANCOCK FINANCIAL SERVICES, INC. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: August 14, 2002 (Date of Earliest Event Reported) JOHN HANCOCK FINANCIAL SERVICES, INC. (Exact name of registrant as specified in charter) Commission File Number: 1-15607 DELAWARE 04-3483032 (State or other jurisdiction of (I.R.S. Employer Identification No.) incorporation or organization) John Hancock Place Boston, Massachusetts 02117 (Address of principal executive offices) (617) 572-6000 (Registrant's telephone number, including area code) ITEM 9. REGULATION FD DISCLOSURE John Hancock Financial Services, Inc. ("JHFS") is furnishing herewith the Statements Under Oath of its Principal Executive Officer and its Principal Financial Officer regarding facts and circumstances relating to Exchange Act Filings as Exhibits 99.1 and 99.2 hereto, respectively, which are included herein. David F. D'Alessandro, Chairman and Chief Executive Officer of JHFS, and Thomas E. Moloney, Senior Executive Vice President and Chief Financial Officer of JHFS, signed these statements, which are being filed with the Securities and Exchange Commission ("SEC") on August 14, 2002, pursuant to the SEC's Order No. 4-460 (June 27, 2002). JHFS is also furnishing herewith the two forms of Certification, signed by Messrs. D'Alessandro and Moloney, as required by Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. Section 1350 et seq.) as Exhibits 99.3 and 99.4 ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS The following exhibits are included herein: Exhibit 99.1 - Statement Under Oath of Principal Executive Officer Regarding Facts and Circumstances Relating to Exchange Act Filings. Exhibit 99.2 - Statement Under Oath of Principal Financial Officer Regarding Facts and Circumstances Relating to Exchange Act Filings. Exhibit 99.3 - Certification Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant To Section 906 Of The Sarbanes-Oxley Act Of 2002. Exhibit 99.4 - Certification Pursuant To 18 U.S.C. Section 1350, As Adopted Pursuant To Section 906 Of The Sarbanes-Oxley Act Of 2002. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized. JOHN HANCOCK FINANCIAL SERVICES, INC. Date: August 14, 2002 By: /s/ Thomas E. Moloney ----------------------------------- Thomas E. Moloney Senior Executive Vice President and Chief Financial Officer Exhibit 99.1 ------------ OMB Number: 3235-0569 Expires: January 31, 2003 Statement Under Oath Of Principal Executive Officer Regarding Facts And Circumstances Relating To Exchange Act Filings I, David F. D'Alessandro, Chairman of the Board and Chief Executive Officer of John Hancock Financial Services, Inc., state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of John Hancock Financial Services, Inc., and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o Annual Report on Form 10-K for the fiscal year ended December 31, 2001 of John Hancock Financial Services, Inc.; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of John Hancock Financial Services, Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. /s/ David F. D'Alessandro Subscribed and sworn to --------------------------- before me this 14th day of Signature August, 2002. David F. D'Alessandro /s/ Joan R. Fontes Chairman of the Board and ------------------- Chief Executive Officer Notary Public My Commission Expires: June 21, 2007 August 14, 2002 Exhibit 99.2 ------------ OMB Number: 3235-0569 Expires: January 31, 2003 Statement Under Oath Of Principal Financial Officer Regarding Facts And Circumstances Relating To Exchange Act Filings I, Thomas E. Moloney, Senior Executive Vice President and Chief Financial Officer of John Hancock Financial Services, Inc., state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of John Hancock Financial Services, Inc., and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o Annual Report on Form 10-K for the fiscal year ended December 31, 2001 of John Hancock Financial Services, Inc.; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of John Hancock Financial Services, Inc. filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. /s/ Thomas E. Moloney Subscribed and sworn to --------------------------- before me this 14th day of Signature August, 2002 Thomas E. Moloney /s/ Joan R. Fontes Senior Executive Vice President and -------------------------- Chief Financial Officer Notary Public My Commission Expires: July 21, 2007 August 14, 2002 Exhibit 99.3 ------------ CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 Pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the Sarbanes-Oxley Act of 2002, the undersigned officer of John Hancock Financial Services, Inc. (the "Company"), hereby certifies, to his knowledge, that: (1) the Company's quarterly report on Form 10-Q for the quarter ended June 30, 2002, (the "Report") fully complies with the requirements of Section 13(a) of the Securities Exchange Act of 1934; and (2) the information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company as of and for the periods presented in the Report. Dated: August 13, 2002 /s/ David F. D'Alessandro -------------------------- Name: David F. D'Alessandro Title: Chairman of the Board and Chief Executive Officer The foregoing certification is being furnished solely pursuant to 18 U.S.C. ss.1350 and is not being filed as part of the Report or as a separate disclosure document. Exhibit 99.4 ------------ CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 Pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the Sarbanes-Oxley Act of 2002, the undersigned officer of John Hancock Financial Services, Inc. (the "Company"), hereby certifies, to his knowledge, that: (1) the Company's quarterly report on Form 10-Q for the quarter ended June 30, 2002, (the "Report") fully complies with the requirements of Section 13(a) of the Securities Exchange Act of 1934; and (2) the information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company as of and for the periods presented in the Report. Dated: August 13, 2002 /s/ Thomas E. Moloney -------------------------- Name: Thomas E. Moloney Title: Senior Executive Vice President and Chief Financial Officer The foregoing certification is being furnished solely pursuant to 18 U.S.C. ss.1350 and is not being filed as part of the Report or as a separate disclosure document.