-----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, Cvdmr0p+AKQpkPHwr7ExqJb5K7LxF34+/woZm1omS7Qa7Tv/PLbwjLkbwrsYjs0t VBPGRvnDhXVJ8H18Ew4VJA== 0000750741-01-500004.txt : 20020413 0000750741-01-500004.hdr.sgml : 20020413 ACCESSION NUMBER: 0000750741-01-500004 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20011031 FILED AS OF DATE: 20011227 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN EQUITY TRUST CENTRAL INDEX KEY: 0000750741 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04079 FILM NUMBER: 1824203 BUSINESS ADDRESS: STREET 1: 101 HUNTINGTON AVE STREET 2: 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02199 BUSINESS PHONE: 6173751700 MAIL ADDRESS: STREET 1: 101 HUNTINGTON AVENUE STREET 2: 10TH FLOOR CITY: BOSTON STATE: MA ZIP: 02199 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN SPECIAL EQUITIES FUND DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN SPECIAL EQUITIES TRUST DATE OF NAME CHANGE: 19901218 NSAR-B 1 answer.fil PAGE 1 000 B000000 10/31/2001 000 C000000 0000750741 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 EQUITY TRUST 001 B000000 811-4079 001 C000000 6173751702 002 A000000 101 HUNTINGTON AVENUE 002 B000000 BOSTON 002 C000000 MA 002 D010000 02199 002 D020000 7603 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 JOHN HANCOCK GROWTH TRENDS FUND 007 C030100 N 007 C010200 2 007 C020200 JOHN HANCOCK LARGE CAP SPECTRUM FUND 007 C030200 N 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 011 A00AA01 JOHN HANCOCK FUNDS, INC. 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 02199 012 C04AA01 7603 013 A00AA01 PRICEWATERHOUSECOOPERS, LLP 013 B01AA01 BOSTON PAGE 2 013 B02AA01 MA 013 B03AA01 02110 015 A00AA01 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 AUSTRAILA BANK LTD. 015 B00AA03 S 015 C01AA03 MELBOURNE 015 D01AA03 AUSTRAILIA 015 E04AA03 X 015 A00AA04 HSBC BANK MIDDLE EAST 015 B00AA04 S 015 C01AA04 MANAMA 015 D01AA04 BAHRAIN 015 E04AA04 X 015 A00AA05 STANDARD CHARTERED BANK 015 B00AA05 S 015 C01AA05 DHAKA 015 D01AA05 BANGLADESH 015 E04AA05 X 015 A00AA06 BANQUE BRUSSELS 015 B00AA06 S 015 C01AA06 BRUSSELS 015 D01AA06 BELGIUM 015 E04AA06 X 015 A00AA07 BANK OF BERMUDA LTD. 015 B00AA07 S 015 C01AA07 HAMILTON 015 D01AA07 BERMUDA 015 E04AA07 X 015 A00AA08 CITIBANK 015 B00AA08 S 015 C01AA08 LA PAZ 015 D01AA08 BOLIVIA 015 E04AA08 X 015 A00AA09 BARCLAYS BANK OF BOTSWANA 015 B00AA09 S 015 C01AA09 GARBORONE 015 D01AA09 BOTSWANA 015 E04AA09 X 015 A00AA10 BANK BOSTON 015 B00AA10 S 015 C01AA10 BRASILIA PAGE 3 015 D01AA10 BRAZIL 015 E04AA10 X 015 A00AA11 ING BANK 015 B00AA11 S 015 C01AA11 SOFIA 015 D01AA11 BULGARIA 015 E04AA11 X 015 A00AA12 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA12 S 015 C01AA12 GUAGADOUGOU 015 D01AA12 BURKINA FASO 015 E04AA12 X 015 A00AA13 ROYAL BANK OIF CANADA 015 B00AA13 S 015 C01AA13 OTTOWA 015 D01AA13 CANADA 015 E04AA13 X 015 A00AA14 BANKBOSTON 015 B00AA14 S 015 C01AA14 SANTIAGO 015 D01AA14 CHILE 015 E04AA14 X 015 A00AA15 STANDARD CHARTERED BANK 015 B00AA15 S 015 C01AA15 SHANGHAI 015 D01AA15 CHINA 015 E04AA15 X 015 A00AA16 CITITRUST 015 B00AA16 S 015 C01AA16 BOGOTA 015 D01AA16 COLOMBIA 015 E04AA16 X 015 A00AA17 BANCO BCT 015 B00AA17 S 015 C01AA17 SAN JOSE 015 D01AA17 COSTA RICA 015 E04AA17 X 015 A00AA18 PRIVERDNA BANKA ZAGREB D.D. 015 B00AA18 S 015 C01AA18 ZAGREB 015 D01AA18 COATIA 015 E04AA18 X 015 A00AA19 CESKLOVENSKA OBCHODNI BANKA 015 B00AA19 S 015 C01AA19 PRAGUE 015 D01AA19 CZECH REPUBLIC 015 E04AA19 X 015 A00AA20 DANSKE BANK 015 B00AA20 S 015 C01AA20 COPENHAGEN 015 D01AA20 DENMARK PAGE 4 015 E04AA20 X 015 A00AA21 CITIBANK N.A. 015 B00AA21 S 015 C01AA21 QUITO 015 D01AA21 ECUADOR 015 E04AA21 X 015 A00AA22 CITIBANK N.A. 015 B00AA22 S 015 C01AA22 CAIRO 015 D01AA22 EGYPT 015 E04AA22 X 015 A00AA23 HANSABANK LTD. 015 B00AA23 S 015 C01AA23 TALLIN 015 D01AA23 ESTONIA 015 E04AA23 X 015 A00AA24 MERITA BANK PLC 015 B00AA24 S 015 C01AA24 OSLO 015 D01AA24 NORWAY 015 E04AA24 X 015 A00AA25 BNP PARABIS 015 B00AA25 S 015 C01AA25 PARIS 015 D01AA25 FRANCE 015 E04AA25 X 015 A00AA26 DRESDNER BANK 015 B00AA26 S 015 C01AA26 BERILN 015 D01AA26 GERMANY 015 E04AA26 X 015 A00AA27 BARCLAYS BANK OF GHANA 015 B00AA27 S 015 C01AA27 ACCRA 015 D01AA27 GHANA 015 E04AA27 X 015 A00AA28 BNP PARABIS 015 B00AA28 S 015 C01AA28 ATHENS 015 D01AA28 GREECE 015 E04AA28 X 015 A00AA29 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA29 S 015 C01AA29 BISSAU 015 D01AA29 GINEAU BISSAU 015 E04AA29 X 015 A00AA30 HSBC 015 B00AA30 S 015 C01AA30 HONG KONG 015 D01AA30 HONG KONG 015 E04AA30 X PAGE 5 015 A00AA31 CITIBANK BUDAPEST 015 B00AA31 S 015 C01AA31 BUDAPEST 015 D01AA31 HUNGARY 015 E04AA31 X 015 A00AA32 LANDSBANK ISLANDS 015 B00AA32 S 015 C01AA32 REJKAVIK 015 D01AA32 ICELAND 015 E04AA32 X 015 A00AA33 HSBC 015 B00AA33 S 015 C01AA33 NEW DELHI 015 D01AA33 INDIA 015 E04AA33 X 015 A00AA34 HSBC 015 B00AA34 S 015 C01AA34 JAKARTA 015 D01AA34 INDONESIA 015 E04AA34 X 015 A00AA35 ALLIED IRISH BANKS 015 B00AA35 S 015 C01AA35 DUBLIN 015 D01AA35 IRELAND 015 E04AA35 X 015 A00AA36 BANK LEUMI 015 B00AA36 S 015 C01AA36 JERUSALEM 015 D01AA36 ISREAL 015 E04AA36 X 015 A00AA37 INTESA BCI 015 B00AA37 S 015 C01AA37 ROME 015 D01AA37 ITALY 015 E04AA37 X 015 A00AA38 SOCIETE GENERALE 015 B00AA38 S 015 C01AA38 ABIDJAN 015 D01AA38 IVORY COAST 015 E04AA38 X 015 A00AA39 CIBC TRUST MERCHANT BANK JAMAICA LTD 015 B00AA39 S 015 C01AA39 KINGSTON 015 D01AA39 JAMAICA 015 E04AA39 X 015 A00AA40 THE BANK OF TOKYO 015 B00AA40 S 015 C01AA40 TOKYO 015 D01AA40 JAPAN 015 E04AA40 X 015 A00AA41 HSBC PAGE 6 015 B00AA41 S 015 C01AA41 AMMAN 015 D01AA41 JORDAN 015 E04AA41 X 015 A00AA42 ABN/AMRO 015 B00AA42 S 015 C01AA42 KAZAKHSTAN 015 D01AA42 KAZAKHSTAN 015 E04AA42 X 015 A00AA43 BARCLAYS BANK OF KENYA 015 B00AA43 S 015 C01AA43 NAIROBI 015 D01AA43 KENYA 015 E04AA43 X 015 A00AA44 HASABANKA 015 B00AA44 S 015 C01AA44 RIGA 015 D01AA44 LATVIA 015 E04AA44 X 015 A00AA45 HSBC 015 B00AA45 S 015 C01AA45 BEIRUT 015 D01AA45 LEBANON 015 E04AA45 X 015 A00AA46 VILLNIAUS BANKAS 015 B00AA46 S 015 C01AA46 VILNIUS 015 D01AA46 LITHUANIA 015 E04AA46 X 015 A00AA47 BANQUE ET CAISSE D'EPARGNE DE L'ETAT 015 B00AA47 S 015 C01AA47 LUXEMBOURG 015 D01AA47 LUXEMBOURG 015 E04AA47 X 015 A00AA48 HONGKONG BANK MALAISIA BERHAD 015 B00AA48 S 015 C01AA48 KUALA LAMPUR 015 D01AA48 MALAYSIA 015 E04AA48 X 015 A00AA49 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA49 S 015 C01AA49 BEMAKO 015 D01AA49 MALI 015 E04AA49 X 015 A00AA50 HSBC 015 B00AA50 S 015 C01AA50 VALLETTA 015 D01AA50 MALTA 015 E04AA50 X 015 A00AA51 HSBC 015 B00AA51 S PAGE 7 015 C01AA51 PORT LOUIS 015 D01AA51 MAURITIUS 015 E04AA51 X 015 A00AA52 BANCO NACIONAL 015 B00AA52 S 015 C01AA52 MEXICO CITY 015 D01AA52 MEXICO 015 E04AA52 X 015 A00AA53 BANQUE COMMERCIALE DU MOROC 015 B00AA53 S 015 C01AA53 RABAT 015 D01AA53 MORROCO 015 E04AA53 X 015 A00AA54 STANBIC BANK NAMBIA LTD. 015 B00AA54 S 015 C01AA54 NAMBIA 015 D01AA54 NAMBIA 015 E04AA54 X 015 A00AA55 FORTIS BANK 015 B00AA55 S 015 C01AA55 AMSTERDAM 015 D01AA55 NETHERLANDS 015 E04AA55 X 015 A00AA56 NATIONAL AUSTRAILIA BANK 015 B00AA56 S 015 C01AA56 AUCKLAND 015 D01AA56 NEW ZEALAND 015 E04AA56 X 015 A00AA57 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA57 S 015 C01AA57 NIAMEY CITY 015 D01AA57 NIGER 015 E04AA57 X 015 A00AA58 STANBIC MERCHANT BANK NIGERIA LIMITED 015 B00AA58 S 015 C01AA58 ABAJU 015 D01AA58 NIGERIA 015 E04AA58 X 015 A00AA59 DEN NORSKE BANK ASA 015 B00AA59 S 015 C01AA59 OSLO 015 D01AA59 NORWAY 015 E04AA59 X 015 A00AA60 HSBC 015 B00AA60 S 015 C01AA60 MUSCAT 015 D01AA60 OMAN 015 E04AA60 X 015 A00AA61 STANDARD CHARTERED BANK 015 B00AA61 S 015 C01AA61 ISLAMABAD PAGE 8 015 D01AA61 PAKISTAN 015 E04AA61 X 015 A00AA62 HSBC 015 B00AA62 S 015 C01AA62 AL-QUDS 015 D01AA62 PALESTINE 015 E04AA62 X 015 A00AA63 BANK BOSTON 015 B00AA63 S 015 C01AA63 PANAMA 015 D01AA63 PANAMA 015 E04AA63 X 015 A00AA64 CITIBANK N.A. 015 B00AA64 S 015 C01AA64 LIMA 015 D01AA64 PERU 015 E04AA64 X 015 A00AA65 HSBC 015 B00AA65 S 015 C01AA65 MANILA 015 D01AA65 PHILIPPINES 015 E04AA65 X 015 A00AA66 BANK HANDLOWY W WARSZAWIE S.A. 015 B00AA66 S 015 C01AA66 WARSAW 015 D01AA66 POLAND 015 E04AA66 X 015 A00AA67 BANCO COMERCIALE PORTUGES 015 B00AA67 S 015 C01AA67 LISBON 015 D01AA67 PORTUGAL 015 E04AA67 X 015 A00AA68 HSBC BANK MIDDLE EAST 015 B00AA68 S 015 C01AA68 DOHA 015 D01AA68 QUTAR 015 E04AA68 X 015 A00AA69 ING BANK 015 B00AA69 S 015 C01AA69 BUCHAREST 015 D01AA69 ROMAINIA 015 E04AA69 X 015 A00AA70 VNESHTORGBANK 015 B00AA70 S 015 C01AA70 MOSCOW 015 D01AA70 RUSSIA 015 E04AA70 X 015 A00AA71 SOCIETE GENERALE DE BANQUES EN COTE D'IVORE 015 B00AA71 S 015 C01AA71 DAKAR 015 D01AA71 SENEGAL PAGE 9 015 E04AA71 X 015 A00AA72 UNITED OVERSEAS BANK 015 B00AA72 S 015 C01AA72 SINGAPORE 015 D01AA72 SINGAPORE 015 E04AA72 X 015 A00AA73 CESKLOVENSKA OBCHODNI BANKA 015 B00AA73 S 015 C01AA73 BRATISLAVA 015 D01AA73 SLOVAK REPUBLIC 015 E04AA73 X 015 A00AA74 BANK AUSTRIA 015 B00AA74 S 015 C01AA74 LJUBLIJANA 015 D01AA74 SLOVENIA 015 E04AA74 X 015 A00AA75 THE STANDARD BANK OF SOUTH AFRICA 015 B00AA75 S 015 C01AA75 CAPE TOWN 015 D01AA75 SOUTH AFRICA 015 E04AA75 X 015 A00AA76 STANDARD CHARTERD BANK 015 B00AA76 S 015 C01AA76 SEOUL 015 D01AA76 SOUTH KOREA 015 E04AA76 X 015 A00AA77 BANCO BIBAO VIZCAYA ARGENARIA S.A. 015 B00AA77 S 015 C01AA77 MADRID 015 D01AA77 SPAIN 015 E04AA77 X 015 A00AA78 STANDARD CHARTERED BANK 015 B00AA78 S 015 C01AA78 SRI LANKA 015 D01AA78 SRI LANKA 015 E04AA78 X 015 A00AA79 STANDARD BANK SWAZILAND 015 B00AA79 S 015 C01AA79 MBABANE 015 D01AA79 SWAZILAND 015 E04AA79 X 015 A00AA80 SKANDINAVISKA ESKILDA BANKEN 015 B00AA80 S 015 C01AA80 STOCKHOLM 015 D01AA80 SWEDEN 015 E04AA80 X 015 A00AA81 CREDIT SWISSE FIRST BOSTON 015 B00AA81 S 015 C01AA81 ZURICH 015 D01AA81 SWITZERLAND 015 E04AA81 X PAGE 10 015 A00AA82 HSBC 015 B00AA82 S 015 C01AA82 TAIPEI 015 D01AA82 TAIWAN 015 E04AA82 X 015 A00AA83 STANDARD CHARTERED BANK 015 B00AA83 S 015 C01AA83 BANGKOK 015 D01AA83 THIALAND 015 E04AA83 X 015 A00AA84 REPUBLIC BANK LTD 015 B00AA84 S 015 C01AA84 PORT OF SPAIN 015 D01AA84 TRINIDAD TOBAGO 015 E04AA84 X 015 A00AA85 BANQUE INTERNATIONALE ARABE TUNISE 015 B00AA85 S 015 C01AA85 TINIS 015 D01AA85 TUNISIA 015 E04AA85 X 015 A00AA86 OSMANALI BANKASI A.S. 015 B00AA86 S 015 C01AA86 ISTANBUL 015 D01AA86 TURKEY 015 E04AA86 X 015 A00AA87 ING BANK 015 B00AA87 S 015 C01AA87 KIEV 015 D01AA87 UKRAINE 015 E04AA87 X 015 A00AA88 THE BANK OF NEW YORK 015 B00AA88 S 015 C01AA88 LONDON 015 D01AA88 UNITED KINGDOM 015 E04AA88 X 015 A00AA89 BANKBOSTON N.A. 015 B00AA89 S 015 C01AA89 MONTEVIDEO 015 D01AA89 URUGUAY 015 E04AA89 X 015 A00AA90 CITIBANK, N.A. 015 B00AA90 S 015 C01AA90 CARACAS 015 D01AA90 VENEZUELA 015 E04AA90 X 015 A00AA91 HSBC 015 B00AA91 S 015 C01AA91 SAIGON 015 D01AA91 VIETNAM 015 E04AA91 X 015 A00AA92 BARCLAY'S BANK OF ZAMBIA LTD PAGE 11 015 B00AA92 S 015 C01AA92 LUSAKA 015 D01AA92 ZAMBIA 015 E04AA92 X 015 A00AA93 BARCLAYS BANK OF ZIMBABWE 015 B00AA93 S 015 C01AA93 HARARE 015 D01AA93 ZIMBABWE 015 E04AA93 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 76 019 C00AA00 JOHNHANCOC 020 A000001 BANK OF NEW YORK 020 B000001 13-4941102 020 C000001 2883 020 A000002 CREDIT SUISSE FIRST BOSTON 020 B000002 13-5659485 020 C000002 69 020 A000003 MERRILL LYNCH 020 B000003 13-5674085 020 C000003 68 020 A000004 INSTINET 020 B000004 13-3443395 020 C000004 61 020 A000005 MORGAN STANLEY & CO. 020 B000005 13-2655998 020 C000005 36 020 A000006 KEEFE BRUYETTE AND WOODS INC. 020 B000006 13-1964616 020 C000006 36 020 A000007 GOLDMAN SACHS & CO. 020 B000007 13-5108880 020 C000007 33 020 A000008 LEHMAN BROTHERS 020 B000008 13-2726611 020 C000008 31 020 A000009 CHASE J.P. MORGAN 020 B000009 13-3224016 020 C000009 27 020 A000010 EXECUTION SERVICES INC. 020 C000010 26 021 000000 3661 022 A000001 BROWN BROTHERS 022 B000001 13-4973745 022 C000001 4273392 022 D000001 531 022 A000002 BARCLAY'S 022 B000002 13-3551367 022 C000002 282899 022 D000002 0 PAGE 12 022 A000003 UBS PAINE WEBBER INC. 022 C000003 130968 022 D000003 0 022 A000004 STATE STREET BANK 022 C000004 107865 022 D000004 0 022 A000005 GOLDMAN SACHS & CO 022 B000005 13-5108880 022 C000005 47231 022 D000005 2963 022 A000006 CREDIT SUISSE FIRST BOSTON 022 B000006 13-5659485 022 C000006 26046 022 D000006 19334 022 A000007 MORGAN STANLEY & CO. 022 B000007 13-2655998 022 C000007 30644 022 D000007 10197 022 A000008 MERRILL LYNCH 022 B000008 13-5674085 022 C000008 16560 022 D000008 4618 022 A000009 LEHMAN BROTHERS INC. 022 B000009 13-2726611 022 C000009 13406 022 D000009 7140 022 A000010 ROBERTSON STEPHEN & CO. 022 B000010 94-2524501 022 C000010 6506 022 D000010 6667 023 C000000 4998681 023 D000000 70559 024 00AA00 N 025 D00AA01 0 025 D00AA02 0 025 D00AA03 0 025 D00AA04 0 025 D00AA05 0 025 D00AA06 0 025 D00AA07 0 025 D00AA08 0 025 D00AA09 0 025 D00AA10 0 025 D00AA11 0 025 D00AA12 0 025 D00AA13 0 025 D00AA14 0 025 D00AA15 0 025 D00AA16 0 025 D00AA17 0 025 D00AA18 0 PAGE 13 025 D00AA19 0 025 D00AA20 0 025 D00AA21 0 025 D00AA22 0 025 D00AA23 0 025 D00AA24 0 025 D00AA25 0 025 D00AA26 0 025 D00AA27 0 025 D00AA28 0 025 D00AA29 0 025 D00AA30 0 025 D00AA31 0 025 D00AA32 0 025 D00AA33 0 025 D00AA34 0 025 D00AA35 0 025 D00AA36 0 025 D00AA37 0 025 D00AA38 0 025 D00AA39 0 025 D00AA40 0 025 D00AA41 0 025 D00AA42 0 025 D00AA43 0 025 D00AA44 0 025 D00AA45 0 025 D00AA46 0 025 D00AA47 0 025 D00AA48 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 037 00AA00 N 038 00AA00 0 039 00AA00 Y 040 00AA00 Y 041 00AA00 Y 054 A00AA00 Y 054 B00AA00 N 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N PAGE 14 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 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 N 060 B00AA00 N 061 00AA00 0 062 A00AA00 N 062 B00AA00 0.0 062 C00AA00 0.0 062 D00AA00 0.0 062 E00AA00 0.0 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 063 A00AA00 0 063 B00AA00 0.0 077 A000000 Y 077 B000000 Y 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 PAGE 15 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 008 A000101 JOHN HANCOCK ADVISERS, INC. 008 B000101 A 008 C000101 801-8124 008 D010101 BOSTON 008 D020101 MA 008 D030101 02199 008 D040101 7603 008 A000102 FUND ASSET MANAGEMENT, L.P. 008 B000102 S 008 C000102 801-12485 008 D010102 PLAINSBORO 008 D020102 NJ 008 D030102 08536 008 A000103 AMERICAN FUND ADVISORS, INC. 008 B000103 S 008 C000103 801-14138 008 D010103 GARDEN CITY 008 D020103 NJ 008 D030103 11530 014 A000101 SIGNATOR INVESTORS, INC. 014 B000101 8-13995 014 A000102 JOHN HANCOCK FUNDS, INC. 014 B000102 8-43582 028 A010100 25955 028 A020100 0 028 A030100 0 028 A040100 3977 028 B010100 17905 028 B020100 0 028 B030100 0 028 B040100 6140 028 C010100 12703 028 C020100 0 028 C030100 0 028 C040100 5654 028 D010100 11405 028 D020100 0 028 D030100 0 028 D040100 6673 028 E010100 6886 028 E020100 0 028 E030100 0 028 E040100 9628 028 F010100 8835 PAGE 16 028 F020100 0 028 F030100 0 028 F040100 6818 028 G010100 83689 028 G020100 0 028 G030100 0 028 G040100 38890 028 H000100 79649 029 000100 Y 030 A000100 2992 030 B000100 5.00 030 C000100 1.00 031 A000100 308 031 B000100 0 032 000100 2516 033 000100 168 034 000100 Y 035 000100 612 036 A000100 Y 036 B000100 0 042 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 2732 044 000100 4055 045 000100 Y 046 000100 N 047 000100 Y 048 000100 1.000 048 A010100 0 048 A020100 0.000 048 B010100 0 048 B020100 0.000 048 C010100 0 048 C020100 0.000 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 PAGE 17 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 0 048 K020100 0.000 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 Y 053 B000100 Y 053 C000100 N 066 A000100 Y 066 B000100 N 066 C000100 N 066 D000100 Y 066 E000100 N 066 F000100 N 066 G000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 Y 070 B010100 Y 070 B020100 N 070 C010100 N 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 N 070 F020100 N 070 G010100 Y 070 G020100 N 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NEWTON TITLE VICE PRESIDENT EX-99.77B ACCT LTTR 3 accountantreport.txt Report of Independent Accountants To the Board of Trustees and Shareholders of John Hancock Equity Trust In planning and performing our audit of the financial statements of John Hancock Growth Trends Fund (a portfolio of John Hancock Equity Trust, hereafter referred to as the "Trust") for the year ended October 31, 2001, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Trust is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control and their operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of October 31, 2001. This report is intended solely for the information and use of the Board of Trustees, management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. PricewaterhouseCoopers LLP December 11, 2001 EX-99.77Q1 OTHR EXHB 4 alliancesimc.txt JOHN HANCOCK EQUITY TRUST John Hancock Large Cap Spectrum Fund Sub-Investment Management Contract Dated September 23, 2001 JOHN HANCOCK ADVISERS, INC. 101 Huntington Avenue Boston, Massachusetts 02199 JOHN HANCOCK EQUITY TRUST John Hancock Large Cap Spectrum Fund 101 Huntington Avenue Boston, Massachusetts 02199 ALLIANCE CAPITAL MANAGEMENT L.P. 1345 Avenue of the Americas New York, New York 10105 Sub-Investment Management Contract Ladies and Gentlemen: John Hancock Equity Trust (the "Trust") has been organized as a business trust under the laws of The Commonwealth of Massachusetts to engage in the business of an investment company. The Trust's shares of beneficial interest may be classified into series, each series representing the entire undivided interest in a separate portfolio of assets. Series may be established or terminated from time to time by action of the Board of Trustees of the Trust. As of the date hereof, the Trust has two series of shares, representing interests in John Hancock Growth Trends Fund and John Hancock Large Cap Spectrum Fund. The Board of Trustees of the Trust (the "Trustees") has selected John Hancock Advisers, Inc. (the "Adviser") to provide overall investment advice and management for the John Hancock Large Cap Spectrum Fund (the "Fund"), and to provide certain other services, under the terms and conditions provided in the Investment Management Contract, dated as of the date hereof, between the Trust, the Fund and the Adviser (the "Investment Management Contract"). The Adviser and the Trustees have selected (the "Sub-Adviser") to provide the Adviser and the Fund with the advice and services set forth below, and the Sub-Adviser is willing to provide such advice and services, subject to the review of the Trustees and overall supervision of the Adviser, under the terms and conditions hereinafter set forth. The Sub-Adviser hereby represents and warrants that it is registered as an investment adviser under the Investment Advisers Act of 1940, as amended. Accordingly, the Trust, on behalf of the Fund, and the Adviser agree with the Sub-Adviser as follows: 1.Delivery of Documents. The Trust has furnished the Sub-Adviser with copies, properly certified or otherwise authenticated, of each of the following: (a)Amended and Restated Declaration of Trust dated June 8, 1999, as amended from time to time (the "Declaration of Trust"); (b)By-Laws of the Trust as in effect on the date hereof; (c)Resolutions of the Trustees approving the form of this Agreement by and among the Adviser, the Sub-Adviser and the Trust, on behalf of the Fund; (d)Resolutions of the Trustees selecting the Adviser as investment adviser for the Fund and approving the form of the Investment Management Contract; (e)the Investment Management Contract; (f)the Fund's portfolio compliance checklists; and (g)the Fund's current Registration Statement, including the Fund's Prospectus and Statement of Additional Information. The Trust will furnish to the Sub-Adviser from time to time copies, properly certified or otherwise authenticated, of all amendments of or supplements to the foregoing, if any. The Sub-Adviser has furnished the Adviser with a copy of the Sub-Adviser's Code of Ethics, and will furnish the Adviser from time to time with copies of any amendments to the code. The restrictions of the Sub-Adviser may differ from those of the Trust where appropriate as long as they maintain the same intent consistent with the sub-adviser's own procedures for recommending and purchasing securities. 2.Investment Services. The Sub-Adviser will use its best efforts to provide to the Fund continuing and suitable investment advice with respect to investments, consistent with the investment policies, objectives and restrictions of the Fund as set forth in the Fund's Prospectus and Statement of Additional Information. In the performance of the Sub-Adviser's duties hereunder, subject always (x) to the provisions contained in the documents delivered to the Sub- Adviser pursuant to Section 1, as each of the same may from time to time be amended or supplemented, and (y) to the limitations set forth in the Registration Statement of the Trust, on behalf of the Fund, as in effect from time to time under the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended (the "1940 Act"), the Sub-Adviser will, have investment discretion with respect to the Fund and will, at its own expense: (a)furnish the Adviser and the Fund with advice and recommendations, consistent with the investment policies, objectives and restrictions of the Fund as set forth in the Fund's Prospectus and Statement of Additional Information, with respect to the purchase, holding and disposition of portfolio securities including, the purchase and sale of options; (b)furnish the Adviser and the Fund with advice as to the manner in which voting rights, subscription rights, rights to consent to corporate action and any other rights pertaining to the Fund's assets shall be exercised, the Fund having the responsibility to exercise such voting and other rights; (c)furnish the Adviser and the Fund with research, economic and statistical data in connection with the Fund's investments and investment policies; (d)submit such reports relating to the valuation of the Fund's securities as the Trustees may reasonably request; (e)subject to prior consultation with the Adviser, engage in negotiations relating to the Fund's investments with issuers, investment banking firms, securities brokers or dealers and other institutions or investors; (f)consistent with provisions of Section 7 of this Agreement, place orders for the purchase, sale or exchange of portfolio securities with brokers or dealers selected by the Sub- Adviser, including brokers or dealers that are affiliates of the Sub-Adviser, provided that in connection with the placing of such orders and the selection of such brokers or dealers the Sub- Adviser shall seek to obtain execution and pricing within the policy guidelines determined by the Trustees and set forth in the Prospectus and Statement of Additional Information of the Fund as in effect and furnished to the Sub-Adviser from time to time; (g)from time to time or at any time requested by the Adviser or the Trustees, make reports to the Adviser or the Trust of the Sub-Adviser's performance of the foregoing services; (h)subject to the supervision of the Adviser, maintain all books and records with respect to the Fund's securities transactions required by the 1940 Act, and preserve such records for the periods prescribed therefor by the 1940 Act (the Sub-Adviser agrees that such records are the property of the Trust and copies will be surrendered to the Trust promptly upon request therefor); (i)give instructions to the Fund's custodian as to deliveries of securities to and from such custodian and transfer of payment of cash for the account of the Fund, and advise the Adviser on the same day such instructions are given; and (j)cooperate generally with the Fund and the Adviser to provide information necessary for the preparation of registration statements and periodic reports to be filed with the Securities and Exchange Commission, including Form N-1A, periodic statements, shareholder communications and proxy materials furnished to holders of shares of the Fund, filings with state "blue sky" authorities and with United States agencies responsible for tax matters, and other reports and filings of like nature. 3.Expenses Paid by the Sub-Adviser. The Sub-Adviser will pay the cost of maintaining the staff and personnel necessary for it to perform its obligations under this Agreement, the expenses of office rent, telephone, telecommunications and other facilities it is obligated to provide in order to perform the services specified in Section 2, and any other expenses incurred by it in connection with the performance of its duties hereunder. 4.Expenses of the Fund Not Paid by the Sub-Adviser. The Sub-Adviser will not be required to pay any expenses which this Agreement does not expressly make payable by the Sub- Adviser. In particular, and without limiting the generality of the foregoing but subject to the provisions of Section 3, the Sub-Adviser will not be required to pay under this Agreement: (a)the compensation and expenses of Trustees and of independent advisers, independent contractors, consultants, managers and other agents employed by the Trust or the Fund other than through the Sub-Adviser; (b)legal, accounting and auditing fees and expenses of the Trust or the Fund; (c)the fees and disbursements of custodians and depositories of the Trust or the Fund's assets, transfer agents, disbursing agents, plan agents and registrars; (d)taxes and governmental fees assessed against the Trust or the Fund's assets and payable by the Trust or the Fund; (e)the cost of preparing and mailing dividends, distributions, reports, notices and proxy materials to shareholders of the Trust or the Fund except that the Sub-Adviser shall bear the costs of providing the information referred to in Section 2(j) to the Adviser; (f)brokers' commissions and underwriting fees; and (g)the expense of periodic calculations of the net asset value of the shares of the Fund. 5. Compensation of the Sub-Adviser. The compensation of the Sub-Adviser for its services under this Agreement shall be calculated and paid in accordance with the Fee Schedule attached hereto as Schedule C, as the same may be amended from time to time by mutual agreement between the Adviser and the Sub-Adviser. The fee payable to the Adviser is calculated on the basis of the "average daily net assets" of the Fund and shall be determined on the basis set forth in the Fund's Prospectus or otherwise consistent with the 1940 Act and the regulations promulgated thereunder. The Sub-Adviser will receive a pro rata portion of such fee for any periods in which the Sub-Adviser advises the Fund less than a full month. Fund shall not be liable to the Sub-Adviser for the Sub-Adviser's compensation hereunder. Calculations of the Sub-Adviser's fee will be based on average net asset values as provided by the Adviser. In addition to the foregoing, the Sub-Adviser may from time to time agree not to impose all or a portion of its fee otherwise payable hereunder (in advance of the time such fee or portion thereof would otherwise accrue) and/or undertake to pay or reimburse the Fund for all or a portion of its expenses not otherwise required to be borne or reimbursed by it. Any such fee reduction or undertaking may be discontinued or modified by the Sub-Adviser at any time. 6.Other Activities of the Sub-Adviser and Its Affiliates. Nothing herein contained shall prevent the Sub-Adviser or any associate of the Sub-Adviser from engaging in any other business or from acting as investment adviser or investment manager for any other person or entity, whether or not having investment policies or portfolios similar to the Fund's; and it is specifically understood that officers, directors and employees of the Sub-Adviser or other affiliates may continue to engage in providing portfolio management services and advice to other investment companies, whether or not registered, to other investment advisory clients of the Sub-Adviser or its affiliates and to said affiliates themselves. 7.Avoidance of Inconsistent Position. In connection with purchases or sales of portfolio securities for the account of the Fund, neither the Sub-Adviser nor any of its investment management subsidiaries nor any of such investment management subsidiaries' directors, officers or employees will act as principal or agent or receive any commission, except as may be permitted by the 1940 Act and rules and regulations promulgated thereunder. The Sub-Adviser shall not knowingly recommend that the Fund purchase, sell or retain securities of any issuer in which the Sub-Adviser has a financial interest without obtaining prior approval of the Adviser prior to the execution of any such transaction. Nothing herein contained shall limit or restrict the Sub-Adviser or any of its officers, affiliates or employees from buying, selling or trading in any securities for its or their own account or accounts. The Trust and Fund acknowledge the Sub-Adviser and its officers, affiliates, and employees, and its other clients may at any time have, acquire, increase, decrease or dispose of positions in investments which are at the same time being acquired or disposed of hereunder. The Sub-Adviser shall have no obligation to acquire with respect to the Fund, a position in any investment which the Sub-Adviser, its officers, affiliates or employees may acquire for its or their own accounts or for the account of another client, if in the sole discretion of the Sub-Adviser, it is not feasible or desirable to acquire a position in such investment on behalf of the Fund. Nothing herein contained shall prevent the Sub-Adviser from purchasing or recommending the purchase of a particular security for one or more funds or clients while other funds or clients may be selling the same security. 8.No Partnership or Joint Venture. The Trust, the Fund, the Adviser and the Sub-Adviser are not partners of or joint venturers with each other and nothing herein shall be construed so as to make them such partners or joint venturers or impose any liability as such on any of them. 9.Limitation of Liability of Sub-Adviser. The Sub-Adviser shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Trust or the Fund or the Adviser in connection with the matters to which this Agreement relates, except a loss resulting from willful misfeasance, bad faith or gross negligence on the Sub-Adviser's part in the performance of its duties or from reckless disregard by it of its obligations and duties under this Agreement. Any person, even though also employed by the Sub-Adviser, who may be or become an employee of and paid by the Trust or the Fund shall be deemed, when acting within the scope of his employment by the Trust or the Fund, to be acting in such employment solely for the Trust or the Fund and not as the Sub-Adviser's employee or agent. 10.Duration and Termination of this Agreement. This Agreement shall remain in force until the second anniversary of the date upon which this Agreement was executed by the parties hereto, and from year to year thereafter, but only so long as such continuance is specifically approved at least annually by (a) a majority of the Trustees who are not interested persons of the Adviser, the Sub-Adviser, or (other than as Board members) of the Trust or the Fund, cast in person at a meeting called for the purpose of voting on such approval, and (b) either (i) the Trustees or (ii) a majority of the outstanding voting securities of the Fund. This Agreement may, on 60 days' written notice, be terminated at any time without the payment of any penalty by the Trust or the Fund by vote of a majority of the outstanding voting securities of the Fund, by the Trustees, the Adviser or the Sub-Adviser. Termination of this Agreement with respect to the Fund shall not be deemed to terminate or otherwise invalidate any provisions of any contract between the Sub-Adviser and any other series of the Trust. This Agreement shall automatically terminate in the event of its assignment or upon termination of the Investment Management Contract. In interpreting the provisions of this Section 10, the definitions contained in Section 2(a) of the 1940 Act (particularly the definitions of "assignment," "interested person" or "voting security"), shall be applied. 11.Amendment of this Agreement. No provision of this Agreement may be changed, waived, discharged or terminated orally, but only by an instrument in writing signed by the party against which enforcement of the change, waiver, discharge or termination is sought, and no amendment, transfer, assignment, sale, hypothecation or pledge of this Agreement shall be effective until approved by (a) the Trustees, including a majority of the Trustees who are not interested persons of the Adviser, the Sub-Adviser, or (other than as Board members) of the Trust or the Fund, cast in person at a meeting called for the purpose of voting on such approval, and , if required, (b) a majority of the outstanding voting securities of the Fund, as defined in the 1940 Act. 12.Governing Law. This Agreement shall be governed and construed in accordance with the laws of the Commonwealth of Massachusetts. 13.Severability. The provisions of this Agreement are independent of and separable from each other, and no provision shall be affected or rendered invalid or unenforceable by virtue of the fact that for any reason any other or others of them may be deemed invalid or unenforceable in whole or in part. 14.Miscellaneous. (a) The captions in this Agreement are included for convenience of reference only and in no way define or limit any of the provisions hereof or otherwise affect their construction or effect. This Agreement may be executed simultaneously in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. The name John Hancock Equity Trust is the designation of the Trustees under the Amended and Restated Declaration of Trust dated June 8, 1999, as amended from time to time. The Declaration of Trust has been filed with the Secretary of The Commonwealth of Massachusetts. The obligations of the Trust and the Fund are not personally binding upon, nor shall resort be had to the private property of, any of the Trustees, shareholders, officers, employees or agents of the Fund, but only the Fund's property shall be bound. The Trust or the Fund shall not be liable for the obligations of any other series of the Trust. (b) Any information supplied by the Sub-Adviser, which is not otherwise in the public domain, in connection with the performance of its duties hereunder is to be regarded as confidential and for use only by the Fund and/or its agents, and only in connection with the Fund and its investments. Yours very truly, JOHN HANCOCK ADVISERS, INC. By:_____________________________ Susan S. Newton Vice President the foregoing contract is hereby agreed to as of the date hereof. JOHN HANCOCK EQUITY TRUST on behalf of John Hancock Large Cap Spectrum Fund By:________________________________ Maureen R. Ford President ALLIANCE CAPITAL MANAGEMENT L.P. BY:Alliance Capital Management Corporation, its General Partner By:________________________________ Name: Title: s:\funds\EquityTrust\LargeCapSpectrum\Subinv Mgt Contract SCHEDULE C SUBADVISORY FEE For services provided to the Fund as set forth in this Agreement, during the period commencing on the date of this Agreement and ending on the one year anniversary of this Agreement, the Adviser will pay to the Sub-Adviser, on or before the 10th day of each month, a fee, payable in arrears, at the annual rate of 0.500% of average net assets in the Fund managed by the Sub- Adviser. Thereafter, the fee shall be calculated at the following annual rates: 0.900% on the first $20 million of average net assets managed by the Sub- Adviser; 0.750% on the next $20 million of average net assets managed by the Sub- Adviser; 0.600% on the next $20 million of average net assets managed by the Sub- Adviser; 0.400% on the next $40 million of average net assets managed by the Sub- Adviser; 0.300% on next average net assets in excess of $100 million managed by the Sub-Adviser. The fees shall be prorated for any month during which this agreement is in effect for only a portion of the month. In computing the fee to be paid to the Sub-Adviser, the net asset value of the Fund shall be valued as set forth in the then current registration statement of the Fund. EX-99.77Q1 OTHR EXHB 5 declarationoftrust.txt JOHN HANCOCK EQUITY TRUST Amendment of Section 5.11 and Establishment and Designation of Class A Shares, Class B Shares, and Class C Shares of Beneficial Interest of John Hancock Large Cap Spectrum Fund a Series of John Hancock Equity Trust Establishment and Designation of New Series of Shares The undersigned, being a majority of the Trustees of John Hancock Equity Trust, a Massachusetts business Trust (the "Trust"), acting pursuant to the Amended and Restated Declaration of Trust dated June 8, 1999, as amended from time to time (the "Declaration of Trust"), do hereby establish an additional series of shares of the Trust (the "Shares"), having rights and preferences set forth in the Declaration of Trust and in the Trust's Registration Statement on Form N-1A, which Shares shall represent undivided beneficial interests in a separate portfolio of assets of the Trust (the "Fund") designated "John Hancock Large Cap Spectrum Fund". The Shares are divided to create three classes of Shares of the Fund as follows: 1.The three classes of Shares of the Fund established and designated hereby are "Class A Shares", "Class B Shares", and "Class C Shares", respectively. 2.Class A Shares, Class B Shares, and Class C Shares shall each be entitled to all of the rights and preferences accorded to Shares under the Declaration of Trust. 3.The purchase price of Class A Shares, of Class B Shares, and of Class C Shares, the method of determining the net asset value of Class A Shares, of Class B Shares, and of Class C Shares, and the relative dividend rights of holders of Class A Shares, of holders of Class B Shares, and of holders of Class C Shares shall be established by the Trustees of the Trust in accordance with the provisions of the Declaration of Trust and shall be as set forth in the Prospectus and Statement of Additional Information of the Fund included in the Trust's Registration Statement, as amended from time to time, under the Securities Act of 1933, as amended and/or the Investment Company Act of 1940, as amended. The Declaration of Trust is hereby amended to the extent necessary to reflect the establishment of such additional series of Shares, effective September 23, 2001. Amendment of Section 5.11 The undersigned, being a majority of the Trustees of John Hancock Equity Trust, a Massachusetts business trust (the "Trust"), acting pursuant to Section 8.3 of the Amended and Restated Declaration of Trust dated June 8, 1999, as amended from time to time, do hereby amend Section 5.11, effective September 23, 2001, as follows: 1.Section 5.11 (a) shall be deleted and replaced with the following: Without limiting the authority of the Trustees set forth in Section 5.1 to establish and designate any further Series or Classes, the Trustees hereby establish the following Series: John Hancock Growth Trends Fund and John Hancock Large Cap Spectrum Fund, each of which consists of Class A Shares, Class B Shares, and Class C Shares (the "Existing Series"). Capitalized terms not otherwise defined herein shall have the meanings set forth in the Declaration of Trust. IN WITNESS WHEREOF, the undersigned have executed this instrument on the 22nd day of May 2001. _________________________________ Dennis S. Aronowitz _________________________________ Gail D. Fosler _________________________________ Stephen L. Brown _________________________________ William F. Glavin _________________________________ Richard P. Chapman, Jr. _________________________________ John A. Moore _________________________________ William J. Cosgrove _________________________________ Patti McGill Peterson _________________________________ Richard A. Farrell _________________________________ John W. Pratt _________________________________ Maureen R. Ford The Declaration of Trust, a copy of which, together with all amendments thereto, is on file in the office of the Secretary of State of The Commonwealth of Massachusetts, provides that no Trustee, officer, employee or agent of the Trust or any Series thereof shall be subject to any personal liability whatsoever to any Person, other than to the Trust or its shareholders, in connection with Trust Property or the affairs of the Trust, save only that arising from bad faith, willful misfeasance, gross negligence or reckless disregard of his/her duties with respect to such Person; and all such Persons shall look solely to the Trust Property, or to the Trust Property of one or more specific Series of the Trust if the claim arises from the conduct of such Trustee, officer, employee or agent with respect to only such Series, for satisfaction of claims of any nature arising in connection with the affairs of the Trust. s:\dectrust\amendmts\equitytrust\establish large cap spectrum EX-99.77Q1 OTHR EXHB 6 lcsimc.txt JOHN HANCOCK LARGE CAP SPECTRUM FUND (a series of John Hancock Equity Trust) 101 Huntington Avenue Boston, Massachusetts 02199 September 23, 2001 John Hancock Advisers, Inc. 101 Huntington Avenue Boston, Massachusetts 02199 Investment Management Contract ---------------------------------------- Ladies and Gentlemen: John Hancock Equity Trust (the "Trust"), of which John Hancock Large Cap Spectrum Fund (the "Fund") is a series, has been organized as a business trust under the laws of The Commonwealth of Massachusetts to engage in the business of an investment company. The Trust's shares of beneficial interest, no par value, may be divided into series, each series representing the entire undivided interest in a separate portfolio of assets. This Agreement relates solely to the Fund. The Board of Trustees of the Trust (the "Trustees") has selected John Hancock Advisers, Inc. (the "Adviser") to provide overall investment advice and management for the Fund, and to provide certain other services, as more fully set forth below, and the Adviser is willing to provide such advice, management and services under the terms and conditions hereinafter set forth. Accordingly, the Adviser and the Trust, on behalf of the Fund, agree as follows: 1.DELIVERY OF DOCUMENTS. The Trust has furnished the Adviser with copies, properly certified or otherwise authenticated, of each of the following: (a)Amended and Restated Declaration of Trust dated June 8, 1999, as amended from time to time (the "Declaration of Trust"); (b)By-Laws of the Trust as in effect on the date hereof; (c)Resolutions of the Trustees selecting the Adviser as investment adviser for the Fund and approving the form of this Agreement; (d)The Trust's Code of Ethics. The Trust will furnish to the Adviser from time to time copies, properly certified or otherwise authenticated, of all amendments of or supplements to the foregoing, if any. 2.INVESTMENT AND MANAGEMENT SERVICES. The Adviser will use its best efforts to provide to the Fund continuing and suitable investment programs with respect to investments, consistent with the investment objectives, policies and restrictions of the Fund. In the performance of the Adviser's duties hereunder, subject always (x) to the provisions contained in the documents delivered to the Adviser pursuant to Section 1, as each of the same may from time to time be amended or supplemented, and (y) to the limitations set forth in the Fund's then- current Prospectus and Statement of Additional Information included in the registration statement of the Trust as in effect from time to time under the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended (the "1940 Act"), the Adviser will, at its own expense: (a)furnish the Fund with advice and recommendations, consistent with the investment objectives, policies and restrictions of the Fund, with respect to the purchase, holding and disposition of portfolio securities, alone or in consultation with any subadviser or subadvisers appointed pursuant to this Agreement and subject to the provisions of any sub-investment management contract respecting the responsibilities of such subadviser or subadvisers; (b)advise the Fund in connection with policy decisions to be made by the Trustees or any committee thereof with respect to the Fund's investments and, as requested, furnish the Fund with research, economic and statistical data in connection with the Fund's investments and investment policies; (c)provide administration of the day-to-day investment operations of the Fund; (d)submit such reports relating to the valuation of the Fund's securities as the Trustees may reasonably request; (e)assist the Fund in any negotiations relating to the Fund's investments with issuers, investment banking firms, securities brokers or dealers and other institutions or investors; (f)consistent with the provisions of Section 7 of this Agreement, place orders for the purchase, sale or exchange of portfolio securities with brokers or dealers selected by the Adviser, PROVIDED that in connection with the placing of such orders and the selection of such brokers or dealers the Adviser shall seek to obtain execution and pricing within the policy guidelines determined by the Trustees and set forth in the Prospectus and Statement of Additional Information of the Fund as in effect from time to time; (g)provide office space and office equipment and supplies, the use of accounting equipment when required, and necessary executive, clerical and secretarial personnel for the administration of the affairs of the Fund; (h)from time to time or at any time requested by the Trustees, make reports to the Fund of the Adviser's performance of the foregoing services and furnish advice and recommendations with respect to other aspects of the business and affairs of the Fund; (i)maintain all books and records with respect to the Fund's securities transactions required by the 1940 Act, including subparagraphs (b)(5), (6), (9) and (10) and paragraph (f) of Rule 31a-1 thereunder (other than those records being maintained by the Fund's custodian or transfer agent) and preserve such records for the periods prescribed therefor by Rule 31a-2 of the 1940 Act (the Adviser agrees that such records are the property of the Fund and will be surrendered to the Fund promptly upon request therefor); (j)obtain and evaluate such information relating to economies, industries, businesses, securities markets and securities as the Adviser may deem necessary or useful in the discharge of the Adviser's duties hereunder; (k)oversee, and use the Adviser's best efforts to assure the performance of the activities and services of the custodian, transfer agent or other similar agents retained by the Fund; (l)give instructions to the Fund's custodian as to deliveries of securities to and from such custodian and transfer of payment of cash for the account of the Fund; and (m)appoint and employ one or more sub-advisors satisfactory to the Fund under sub- investment management agreements. 3.EXPENSES PAID BY THE ADVISER. The Adviser will pay: (a)the compensation and expenses of all officers and employees of the Trust; (b)the expenses of office rent, telephone and other utilities, office furniture, equipment, supplies and other expenses of the Fund; and (c)any other expenses incurred by the Adviser in connection with the performance of its duties hereunder. 4.EXPENSES OF THE FUND NOT PAID BY THE ADVISER. The Adviser will not be required to pay any expenses which this Agreement does not expressly make payable by it. In particular, and without limiting the generality of the foregoing but subject to the provisions of Section 3, the Adviser will not be required to pay under this Agreement: (a) any and all expenses, taxes and governmental fees incurred by the Trust or the Fund prior to the effective date of this Agreement; (b)without limiting the generality of the foregoing clause (a), the expenses of organizing the Trust and the Fund (including without limitation, legal, accounting and auditing fees and expenses incurred in connection with the matters referred to in this clause (b), of initially registering shares of the Trust under the Securities Act of 1933, as amended, and of qualifying the shares for sale under state securities laws for the initial offering and sale of shares; (c)the compensation and expenses of Trustees who are not interested persons (as used in this Agreement, such term shall have the meaning specified in the 1940 Act) of the Adviser and of independent advisers, independent contractors, consultants, managers and other unaffiliated agents employed by the Fund other than through the Adviser; (d)legal, accounting, financial management, tax and auditing fees and expenses of the Fund (including an allocable portion of the cost of its employees rendering such services to the Fund); (e)the fees and disbursements of custodians and depositories of the Fund's assets, transfer agents, disbursing agents, plan agents and registrars; (f)taxes and governmental fees assessed against the Fund's assets and payable by the Fund; (g)the cost of preparing and mailing dividends, distributions, reports, notices and proxy materials to shareholders of the Fund; (h)brokers' commissions and underwriting fees; (i)the expense of periodic calculations of the net asset value of the shares of the Fund; and (j)insurance premiums on fidelity, errors and omissions and other coverages. 5.COMPENSATION OF THE ADVISER. For all services to be rendered, facilities furnished and expenses paid or assumed by the Adviser as herein provided, the Adviser shall be entitled to a fee, paid monthly in arrears, at an annual rate equal to 0.85% of the average daily net asset value of the Fund. The "average daily net assets" of the Fund shall be determined on the basis set forth in the Fund's Prospectus or otherwise consistent with the 1940 Act and the regulations promulgated thereunder. The Adviser will receive a pro rata portion of such monthly fee for any periods in which the Adviser serves as investment adviser to the Fund for less than a full month. On any day that the net asset value calculation is suspended as specified in the Fund's Prospectus, the net asset value for purposes of calculating the advisory fee shall be calculated as of the date last determined. In addition, the Adviser may agree not to impose all or a portion of its fee (in advance of the time its fee would otherwise accrue) and/or undertake to make any other payments or arrangements necessary to limit the Fund's expenses to any level the Adviser may specify. Any fee reduction or undertaking shall constitute a binding modification of this Agreement while it is in effect but may be discontinued or modified prospectively by the Adviser at any time. 6.OTHER ACTIVITIES OF THE ADVISER AND ITS AFFILIATES. Nothing herein contained shall prevent the Adviser or any affiliate or associate of the Adviser from engaging in any other business or from acting as investment adviser or investment manager for any other person or entity, whether or not having investment policies or portfolios similar to the Fund's; and it is specifically understood that officers, directors and employees of the Adviser and those of its parent company, John Hancock Life Insurance Company, or other affiliates may continue to engage in providing portfolio management services and advice to other investment companies, whether or not registered, to other investment advisory clients of the Adviser or of its affiliates and to said affiliates themselves. The Adviser shall have no obligation to acquire with respect to the Fund a position in any investment which the Adviser, its officers, affiliates or employees may acquire for its or their own accounts or for the account of another client, if, in the sole discretion of the Adviser, it is not feasible or desirable to acquire a position in such investment on behalf of the Fund. Nothing herein contained shall prevent the Adviser from purchasing or recommending the purchase of a particular security for one or more funds or clients while other funds or clients may be selling the same security. 7.AVOIDANCE OF INCONSISTENT POSITION. In connection with purchases or sales of portfolio securities for the account of the Fund, neither the Adviser nor any of its investment management subsidiaries, nor any of the Adviser's or such investment management subsidiaries' directors, officers or employees will act as principal or agent or receive any commission, except as may be permitted by the 1940 Act and rules and regulations promulgated thereunder. If any occasions shall arise in which the Adviser advises persons concerning the shares of the Fund, the Adviser will act solely on its own behalf and not in any way on behalf of the Fund. Nothing herein contained shall limit or restrict the Adviser or any of its officers, affiliates or employees from buying, selling or trading in any securities for its or their own account or accounts. 8.NO PARTNERSHIP OR JOINT VENTURE. Neither the Trust, the Fund nor the Adviser are partners of or joint venturers with each other and nothing herein shall be construed so as to make them such partners or joint venturers or impose any liability as such on any of them. 9.NAME OF THE TRUST AND THE FUND. The Trust and the Fund may use the name "John Hancock" or any name or names derived from or similar to the names "John Hancock Advisers, Inc.", "John Hancock Life Insurance Company", or "John Hancock Financial Services, Inc." only for so long as this Agreement remains in effect. At such time as this Agreement shall no longer be in effect, the Trust and the Fund will (to the extent that they lawfully can) cease to use such a name or any other name indicating that the Fund is advised by or otherwise connected with the Adviser. The Fund acknowledges that it has adopted the name John Hancock Large Cap Spectrum Fund through permission of John Hancock Life Insurance Company, a Massachusetts insurance company, and agrees that John Hancock Life Insurance Company reserves to itself and any successor to its business the right to grant the nonexclusive right to use the name "John Hancock" or any similar name or names to any other corporation or entity, including but not limited to any investment company of which John Hancock Life Insurance Company or any subsidiary or affiliate thereof shall be the investment adviser. 10.LIMITATION OF LIABILITY OF THE ADVISER. The Adviser shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Trust in connection with the matters to which this Agreement relates, except a loss resulting from willful misfeasance, bad faith or gross negligence on the part of the Adviser in the performance of its duties or from reckless disregard by it of its obligations and duties under this Agreement. Any person, even though also employed by the Adviser, who may be or become an employee of and paid by the Trust shall be deemed, when acting within the scope of his employment by the Fund, to be acting in such employment solely for the Trust and not as the Adviser's employee or agent. 11.DURATION AND TERMINATION OF THIS AGREEMENT. This Agreement shall remain in force until June 30, 2003, and from year to year thereafter, but only so long as such continuance is specifically approved at least annually by (a) a majority of the Trustees who are not interested persons of the Adviser or (other than as Board members) of the Fund, cast in person at a meeting called for the purpose of voting on such approval, and (b) either (i) the Trustees or (ii) a majority of the outstanding voting securities of the Fund. This Agreement may, on 60 days' written notice, be terminated at any time without the payment of any penalty by the vote of a majority of the outstanding voting securities of the Fund, by the Trustees or by the Adviser. Termination of this Agreement shall not be deemed to terminate or otherwise invalidate any provisions of any contract between the Adviser and any other series of the Trust. This Agreement shall automatically terminate in the event of its assignment. In interpreting the provisions of this Section 11, the definitions contained in Section 2(a) of the 1940 Act (particularly the definitions of "assignment," "interested person" and "voting security") shall be applied. 12.AMENDMENT OF THIS AGREEMENT. No provision of this Agreement may be changed, waived, discharged or terminated orally, but only by an instrument in writing signed by the party against which enforcement of the change, waiver, discharge or termination is sought, and no amendment, transfer, assignment, sale, hypothecation or pledge of this Agreement shall be effective until approved by (a) the Trustees, including a majority of the Trustees who are not interested persons of the Adviser or (other than as Trustees) of the Fund, cast in person at a meeting called for the purpose of voting on such approval, and (b) a majority of the outstanding voting securities of the Fund, as defined in the 1940 Act. 13.GOVERNING LAW. This Agreement shall be governed and construed in accordance with the laws of The Commonwealth of Massachusetts. 14.SEVERABILITY. The provisions of this Agreement are independent of and separable from each other, and no provision shall be affected or rendered invalid or unenforceable by virtue of the fact that for any reason any other or others of them may be deemed invalid or unenforceable in whole or in part. 15.MISCELLANEOUS. The captions in this Agreement are included for convenience of reference only and in no way define or limit any of the provisions hereof or otherwise affect their construction or effect. This Agreement may be executed simultaneously in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. The name John Hancock Large Cap Spectrum Fund is a series designation of the Trustees under the Trust's Declaration of Trust. The Declaration of Trust has been filed with the Secretary of State of The Commonwealth of Massachusetts. The obligations of the Fund are not personally binding upon, nor shall resort be had to the private property of, any of the Trustees, shareholders, officers, employees or agents of the Trust, but only upon the Fund and its property. The Fund shall not be liable for the obligations of any other series of the Trust and no other series shall be liable for the Fund's obligations hereunder. Yours very truly, JOHN HANCOCK EQUITY TRUST on behalf of John Hancock Large Cap Spectrum Fund By:___________________________ Maureen R. Ford President The foregoing contract is hereby agreed to as of the date hereof. JOHN HANCOCK ADVISERS, INC. By: ___________________________ Susan S. Newton Senior Vice President and Secretary s:\funds\EquityTrust\LargeCapSpectrum\Large Cap Spectrum Inv Mgt Contract -----END PRIVACY-ENHANCED MESSAGE-----