-----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, TFx4U5XpdchxtpQTpSYDMwzDk9ZeN10Gt//lg7kKUtsM71JX1UXuhty89K31zJQf PjIYXQSGf24uz2B+iSVuuw== 0000950109-96-000622.txt : 19960624 0000950109-96-000622.hdr.sgml : 19960624 ACCESSION NUMBER: 0000950109-96-000622 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960208 DATE AS OF CHANGE: 19960621 SROS: NASD GROUP MEMBERS: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA GROUP MEMBERS: JOHN HANCOCK ASSET MANAGEMENT GROUP MEMBERS: JOHN HANCOCK MUTUAL LIFE INSURANCE CO. GROUP MEMBERS: JOHN HANCOCK SUBSIDIARIES, INC. GROUP MEMBERS: THE BERKELEY FINANCIAL GROUP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROSS STORES INC CENTRAL INDEX KEY: 0000745732 STANDARD INDUSTRIAL CLASSIFICATION: 5651 IRS NUMBER: 941390387 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-37304 FILM NUMBER: 96513286 BUSINESS ADDRESS: STREET 1: 8333 CENTRAL AVE CITY: NEWARK STATE: CA ZIP: 94560-3433 BUSINESS PHONE: 5105054841 MAIL ADDRESS: STREET 1: 8333 CENTRAL AVENUE CITY: NEWARK STATE: CA ZIP: 94560-3433 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA CENTRAL INDEX KEY: 0000917406 STANDARD INDUSTRIAL CLASSIFICATION: 0000 IRS NUMBER: 041414660 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: CORPORATE LAW DIVISION T-55 STREET 2: P O BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 BUSINESS PHONE: 6175726000 MAIL ADDRESS: STREET 1: CORPORATE LAW DIVISION T-55 STREET 2: P O BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 SC 13G 1 SCHEDULE 13G ------------------------------ OMB APPROVAL UNITED STATES OMB NUMBER 3235-0145 SECURITIES AND EXCHANGE COMMISSION EXPIRES: DECEMBER 31, 1997 WASHINGTON, D.C. 20549 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE . . . 14.90 ------------------------------ SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __)* Ross Stores, Inc. - - - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - - - -------------------------------------------------------------------------------- (Title of Class of Securities) 778296103 ------------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). PAGE 1 OF 10 PAGES - - - ------------------- ---------------------- CUSIP No. 778296103 13G Page 2 OF 10 Pages - - - ------------------- ---------------------- - - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Mutual Life Insurance Company I.R.S. No. 04-1414660 - - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] N/A - - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- ---------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- ---------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None, except through its indirect, wholly-owned subsidiaries, NM Capital Management, Inc., John Hancock Advisers, Inc. and Tucker Anthony Incorporated. - - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 See line 9, above. - - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IC, BD, IA, HC - - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 10 PAGES - - - ------------------- ---------------------- CUSIP NO. 778296103 13G PAGE 3 OF 10 PAGES - - - ------------------- ---------------------- - - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Subsidiaries, Inc. I.R.S. No. 04-2687223 - - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] N/A - - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- ---------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- ---------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,239,810: 1,176,710 through its indirect, wholly-owned subsidiary, NM Capital Management, Inc., 55,000 through its indirect, wholly-owned subsidiary, John Hancock Advisers, Inc. and 8,100 through its indirect, wholly-owned subsidiary, Tucker Anthony Incorporated. - - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% as stated in Line 9, above. - - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 10 PAGES - - - ------------------- ---------------------- CUSIP NO. 778296103 13G PAGE 4 OF 10 PAGES - - - ------------------- ---------------------- - - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Asset Management I.R.S. No. 04-3279774 - - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] N/A - - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- ---------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- ---------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - - - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,231,710: 1,176,710 through its indirect, wholly-owned subsidiary, NM Capital Management, Inc. and 55,000 through its indirect, wholly-owned subsidiary, John Hancock Advisers, Inc. - - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% as stated in line 9. - - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 4 OF 10 PAGES - - - ------------------- ---------------------- CUSIP NO. 778296103 13G PAGE 5 OF 10 PAGES - - - ------------------- ---------------------- - - - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Berkeley Financial Group I.R.S. No. 04-3145626 - - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] N/A - - - -------------------------------------------------------------------------------- 3 SEC USE ONLY - - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- ---------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- ---------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With -0- ---------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - - - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,231,710: 1,176,710 through its direct, wholly-owned subsidiary, NM Capital Management, Inc. and 55,000 through its direct, wholly-owned subsidiary, John Hancock Advisers, Inc. - - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% - - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - - - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 5 OF 10 PAGES The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Item 1(a) Name of Issuer: -------------- Ross Stores, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 8333 Central Avenue Newark, CA 94560-3433 Item 2(a) Name of Person Filing: --------------------- This filing is made on behalf of John Hancock Mutual Life Insurance Company ("JHMLICO"), JHMLICO's wholly-owned subsidiary, John Hancock Subsidiaries, Inc. ("JHSI"), JHSI's wholly-owned subsidiary, John Hancock Asset Management ("JHAM"), and JHAM"s wholly-owned subsidiary, The Berkeley Financial Group ("TBFG") Item 2(b) Address of the Principal Offices: -------------------------------- The principal business offices of JHMLICO, JHSI, and JHAM are located at John Hancock Place, P.O. Box 111, Boston, MA 02117. The principal business offices of TBFG is located at 101 Huntington Avenue, Boston, MA 02199. Item 2(c) Citizenship: ----------- JHMLICO, JHAM and TBFG were organized and exist under the laws of the Commonwealth of Massachusetts. JHSI was organized and exists under the laws of the State of Delaware. Item 2(d) Title of Class of Securities: ---------------------------- Common Stock Item 2(e) CUSIP Number: ------------ 778296103 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or ------------------------------------------------------------- 13d-2(b), check whether the person filing is a: ---------------------------------------------- JHMLICO: (a) (X) Broker or Dealer registered under (S)15 of the Act. (c) (X) Insurance Company as defined in (S)3(a)(19) of the Act. (e) (X) Investment Adviser registered under (S)203 of the Investment Advisers Act of 1940. (g) (X) Parent Holding Company, in accordance with (S)240.13d-1(b)(ii)(G). PAGE 6 OF 10 PAGES JHSI: (g) (X) Parent Holding Company, in accordance with (S)240.13d-1(b)(ii)(G). JHAM: (g) (X) Parent Holding Company, in accordance with (S)240.13d-1(b)(ii)(G). TBFG: (g) (X) Parent Holding Company, in accordance with (S)240.13d-1(b)(ii)(G). Item 4 Ownership: ------------- (a) Amount Beneficially Owned: A direct, wholly-owned ------------------------- subsidiary of TBFG, NM Capital Management, Inc. ("NM") beneficially owns 1,176,710 shares of Common Stock in various advisory accounts. NM is an Investment Adviser registered under (S)203 of the Investment Advisers Act of 1940. In addition to the shares owned by NM, John Hancock Advisers, Inc. ("JHA"), an Investment Adviser registered under (S)203 of the Investment Advisers Act of 1940 and a direct, wholly-owned subsidiary of TBFG, beneficially owns 55,000 shares of Common Stock. Through their parent- subsidiary relationship to NM and JHA, JHMLICO, JHSI, JHAM and TBFG have indirect, beneficial ownership of these same shares. The JHA shares are held by the: John Hancock Special Value Fund, an open-end diversified management company registered under (S)8 of the Investment Company Act. Under an Advisory Agreement dated October 1, 1993, JHA has beneficial ownership of the 52,000 shares held in the fund. John Hancock Institutional Series Trust - John Hancock Fundamental Value Fund an open-end diversified management company registered under (S)8 of the Investment Company Act. Under an Advisory Agreement dated April 3, 1995, JHA has beneficial ownership of the 3,000 shares held in the fund. In addition to the shares beneficially owned by NM and JHA, Tucker Anthony Incorporated ("TA") a Broker/Dealer registered under (S)15 of the Securities Exchange Act of 1934, has beneficial ownership of 8,100 shares held in customer accounts. Through their parent-subsidiary relationship to TA, an indirect, wholly-owned subsidiary, JHMLICO and JHSI have indirect, beneficial ownership of the TA shares. (b) Percent of Class: ---------------- JHSI - 5.1% TBFG - 5.1% NM - 4.8% JHA - .02% (c) (i) sole power to vote or to direct the vote: NM - 410,600 JHA - 55,000 TA - 8,100 (ii) shared power to vote or to direct the vote: -0- PAGE 7 OF 10 PAGES (iii) sole power to dispose or to direct the disposition of: NM - 1,176,710 JHA - 55,000 TA - 8,100 (iv) shared power to dispose or to direct the disposition of: -0- Item 5 Ownership of Five Percent or Less of a Class: -------------------------------------------- Not applicable. Item 6 Ownership of More than Five Percent on Behalf of Another -------------------------------------------------------- Person: ------ See Item 4 above. Item 7 Identification and Classification of the Subsidiary which --------------------------------------------------------- Acquired the Security Being Reported on by the Parent Holding ------------------------------------------------------------- Company: ------- See Items 3 and 4 above. Item 8 Identification and Classification of Members of the Group: --------------------------------------------------------- Not applicable. Item 9 Notice of Dissolution of a Group: -------------------------------- Not applicable. Item 10 Certification: ------------- By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. PAGE 8 OF 10 PAGES SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY By: /s/ John T. Farady ------------------------------------- Name: John T. Farady ------------------------------------ Dated: February 7, 1996 Title: Senior Vice President & Treasurer ------------------- ----------------------------------- JOHN HANCOCK SUBSIDIARIES, INC. By: /s/ John T. Farady ------------------------------------- Name: John T. Farady ------------------------------------ Dated: February 7, 1996 Title: Treasurer ------------------- ----------------------------------- JOHN HANCOCK ASSET MANAGEMENT By: /s/ James H. Young ------------------------------------- Name: James H. Young ------------------------------------ Dated: February 7, 1996 Title: Secretary ------------------- ----------------------------------- THE BERKELEY FINANCIAL GROUP By: /s/ Susan S. Newton ------------------------------------- Name: Susan S. Newton ------------------------------------ Dated: February 7, 1996 Title: Vice President ------------------- ----------------------------------- PAGE 9 OF 10 PAGES EXHIBIT A JOINT FILING AGREEMENT ---------------------- John Hancock Mutual Life Insurance Company, John Hancock Subsidiaries, Inc., John Hancock Asset Management and The Berkeley Financial Group agree that the Initial Schedule 13G, to which this Agreement is attached, relating to the Common Stock of Ross Stores, Inc., is filed on behalf of each of them. JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY By: /s/ John T. Farady ------------------------------------- Name: John T. Farady ------------------------------------ Dated: February 7, 1996 Title: Senior Vice President & Treasurer ------------------- ----------------------------------- JOHN HANCOCK SUBSIDIARIES, INC. By: /s/ John T. Farady ------------------------------------- Name: John T. Farady ------------------------------------ Dated: February 7, 1996 Title: Treasurer ------------------- ----------------------------------- JOHN HANCOCK ASSET MANAGEMENT By: /s/ James H. Young ------------------------------------- Name: James H. Young ------------------------------------ Dated: February 7, 1996 Title: Secretary ------------------- ----------------------------------- THE BERKELEY FINANCIAL GROUP By: /s/ Susan S. Newton ------------------------------------- Name: Susan S. Newton ------------------------------------ Dated: February 7, 1996 Title: Vice President ------------------- ----------------------------------- PAGE 10 OF 10 PAGES -----END PRIVACY-ENHANCED MESSAGE-----