-----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, H2M4ZeGavAmcVHknaukrY6tjoksoypTzmbTLytsKakZsiY3j7OhVSKDHWH4Awp3N KN8jbayUtTfFdYSWAPmSbg== 0000950109-96-000633.txt : 19960410 0000950109-96-000633.hdr.sgml : 19960410 ACCESSION NUMBER: 0000950109-96-000633 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960209 SROS: NASD GROUP MEMBERS: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA GROUP MEMBERS: JOHN HANCOCK ADVISERS, INC. 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: CAIRN ENERGY USA INC CENTRAL INDEX KEY: 0000353153 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 232169839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-33978 FILM NUMBER: 96513932 BUSINESS ADDRESS: STREET 1: 8235 DOUGLAS AVE STE 1221 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2143690316 MAIL ADDRESS: STREET 1: 8235 DOUGLAS AVE STREET 2: STE 1221 CITY: DALLAS STATE: TX ZIP: 75225 FORMER COMPANY: FORMER CONFORMED NAME: OMNI EXPLORATION INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA CENTRAL INDEX KEY: 0000917406 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [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. __)* Cairn Energy USA Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 127762102 -------------------------------- (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). SEC 1745 (2-95) PAGE 1 OF 11 PAGES - ------------------- ------------------ CUSIP NO. 127762102 13G PAGE 2 OF 11 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 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 See line 9, above. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IC, BD, IA, HC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 11 PAGES - ------------------- ------------------ CUSIP NO. 127762102 13G PAGE 3 OF 11 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 None, except 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 See line 9, above. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 11 PAGES - ------------------- ------------------ CUSIP NO. 127762102 13G PAGE 4 OF 11 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 None, except 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 See line 9, above. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 4 OF 11 PAGES - ------------------- ------------------ CUSIP NO. 127762102 13G PAGE 5 OF 11 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 None, except 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 See line 9, above. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 5 OF 11 PAGES - ------------------- ------------------ CUSIP NO. 127762102 13G PAGE 6 OF 11 PAGES - ------------------- ------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Advisers Inc. I.R.S. No. 04-2441573 - -------------------------------------------------------------------------------- 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 955,000 -------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH -0- -------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 955,000 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 955,000 - -------------------------------------------------------------------------------- 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 5.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 6 OF 11 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: -------------- Cairn Energy USA Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 8235 Douglas Avenue, Suite 1221 Dallas, TX 75225 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"), JHAM's wholly-owned subsidiary, The Berkeley Financial Group ("TBFG") and TBFG's wholly-owned subsidiary, John Hancock Advisers, Inc. ("JHA"). 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 and JHA are 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 and JHA were organized and exist under the laws of the State of Delaware. Item 2(d) Title of Class of Securities: ---------------------------- Common Stock Item 2(e) CUSIP Number: ------------ 127762102 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 7 OF 11 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). JHA: (e) (X) Investment Adviser registered under (S)203 of the Investment Advisers Act of 1940. Item 4 Ownership: ---------- (a) Amount Beneficially Owned: JHA has direct beneficial ownership -------------------------- of 955,000 shares of Common Stock. Through their parent- subsidiary relationship to JHA, JHMLICO, JHAM, JHSI and TBFG have indirect beneficial ownership of these same shares. (b) Percent of Class: 5.4% ----------------- (c) (i) sole power to vote or to direct the vote: JHA has sole power to vote or direct the vote of the 955,000 shares of Common Stock under Advisory Agreements with eight open-end diversified management companies registered under (S)8 of the Investment Company Act. John Hancock Variable Series Trust 1 -Special Opportunities Portfolio, Sub - Advisory Agreement dated April 15, 1994 - 25,000 John Hancock Global RX Fund, Advisory Agreement dated June 24, 1991 - 55,000 John Hancock Multi-Sector Growth Fund, Advisory Agreement dated January 30, 1995 - 3,000 Boston Safe Deposit and Trust Company as Trustee of the Pension Plan for Personnel in General Agencies of the John Hancock Mutual Life Insurance Company, Advisory Agreement dated January 19, 1994 - 40,000 John Hancock Emerging Growth Fund, Advisory Agreement dated December 22, 1994 - 52,000 John Hancock Global Resources Fund, Advisory Agreement dated December 22, 1994 -100,000 John Hancock Special Opportunities, Advisory Agreement dated January 1, 1994 - 180,000 John Hancock Special Equity Fund, Advisory Agreement dated January 1, 1994 - 500,000 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: JHA has sole power to dispose or to direct the disposition of 955,000 shares of Common Stock under advisory agreements listed in 4(c)(i) above. (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. PAGE 8 OF 11 PAGES 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 9 OF 11 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/ Marion L. Nierintz --------------------------------------- Name: Marion L. Nierintz ------------------------------------- Dated: 2/2/96 Title: Second Vice President -------------------- ----------------------------------- JOHN HANCOCK SUBSIDIARIES, INC. By: /s/ Marion L. Nierintz --------------------------------------- Name: Marion L. Nierintz ------------------------------------- Dated: 2/2/96 Title: Secretary -------------------- ------------------------------------ JOHN HANCOCK ASSET MANAGEMENT By: /s/ James H. Young --------------------------------------- Name: James H. Young ------------------------------------- Dated: 2/2/96 Title: Secretary -------------------- ------------------------------------ THE BERKELEY FINANCIAL GROUP By: /s/ Susan S. Newton --------------------------------------- Name: Susan S. Newton ------------------------------------- Dated: 2/1/96 Title: Vice President -------------------- ------------------------------------ JOHN HANCOCK ADVISERS, INC. By: /s/ Susan S. Newton --------------------------------------- Name: Susan S. Newton ------------------------------------- Dated: 2/1/96 Title: Vice President -------------------- ------------------------------------ PAGE 10 OF 11 PAGES EXHIBIT A JOINT FILING AGREEMENT ---------------------- John Hancock Mutual Life Insurance Company, John Hancock Subsidiaries, Inc., John Hancock Asset Management, The Berkeley Financial Group and John Hancock Advisers, Inc. agree that the Initial Schedule 13G, to which this Agreement is attached, relating to the Common Stock of Cairn Energy USA, Inc., is filed on behalf of each of them. JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY By: /s/ Marion L. Nierintz --------------------------------------- Name: Marion L. Nierintz ------------------------------------- Dated: 2/2/96 Title: Second Vice President -------------------- ------------------------------------ JOHN HANCOCK SUBSIDIARIES, INC. By: /s/ Marion L. Nierintz --------------------------------------- Name: Marion L. Nierintz ------------------------------------- Dated: 2/2/96 Title: Secretary -------------------- ------------------------------------ JOHN HANCOCK ASSET MANAGEMENT By: /s/ James H. Young --------------------------------------- Name: James H. Young ------------------------------------- Dated: 2/2/96 Title: Secretary -------------------- ------------------------------------ THE BERKELEY FINANCIAL GROUP By: /s/ Susan S. Newton --------------------------------------- Name: Susan S. Newton ------------------------------------- Dated: 2/1/96 Title: Vice President -------------------- ------------------------------------ JOHN HANCOCK ADVISERS, INC. By: /s/ Susan S. Newton --------------------------------------- Name: Susan S. Newton ------------------------------------- Dated: 2/1/96 Title: Vice President -------------------- ------------------------------------ PAGE 11 OF 11 PAGES -----END PRIVACY-ENHANCED MESSAGE-----