-----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, FizUIEg0dXlzoNVQ3zbDNSEasnE6ftZ2J65rpVTmZvzZtD7IKCQwYOn1qOGA9uqM K3GMclOwZZJJKvpFVBM4BA== 0001010521-98-000155.txt : 19980211 0001010521-98-000155.hdr.sgml : 19980211 ACCESSION NUMBER: 0001010521-98-000155 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980210 SROS: NASD GROUP MEMBERS: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA GROUP MEMBERS: JOHN HANCOCK ADVISERS GROUP MEMBERS: JOHN HANCOCK SUBSIDIARIES INC. GROUP MEMBERS: JOHN HANCOK MUTUAL LIFE COMPANY GROUP MEMBERS: THE BERKLEY FINANCIAL GROUP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST INDIANA BANCORP INC CENTRAL INDEX KEY: 0000942898 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 351948594 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48437 FILM NUMBER: 98527974 BUSINESS ADDRESS: STREET 1: 648 N JEFFERSON ST CITY: HUNTINGTON STATE: IN ZIP: 46750 BUSINESS PHONE: 2193563311 MAIL ADDRESS: STREET 1: 648 N JEFFERSON ST STREET 2: PO BOX 70 CITY: HUNTINGTON STATE: IN ZIP: 46750-0070 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/A 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/A 1 NORTHEAST INDIANA BANCORP --------------------------- OMB APPROVAL OMB Number 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response . . . 14.90 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Northeast Indiana Bancorp - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 664196102 - -------------------------------------------------------------------------------- (CUSIP Number) *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 9 PAGES
- --------------------------------------- -------------------------------------- CUSIP No. 664196102 13G Page 2 of 9 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, IA, HC - --------- ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 9 PAGES - --------------------------------------- -------------------------------------- CUSIP No. 664196102 13G Page 3 of 9 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 9 PAGES - --------------------------------------- -------------------------------------- CUSIP No. 664196102 13G Page 4 of 9 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 4 OF 9 PAGES - --------------------------------------- -------------------------------------- CUSIP No. 664196102 13G Page 5 of 9 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 63,000 -------- ------------------------------------------------------------------------------------------ Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------ Reporting 7 SOLE DISPOSITIVE POWER Person With 63,000 -------- ------------------------------------------------------------------------------------------ -------- ------------------------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER -0- -------- ------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 63,000 - --------- ------------------------------------------------------------------------------------------------------------ 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 3.6% - --------- ------------------------------------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IA - --------- ------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 5 OF 9 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: Northeast Indiana Bancorp Item 1(b) Address of Issuer's Principal Executive Offices: 648 N. Jefferson St. Huntington, IN 46750 Item 2(a) Name of Person Filing: This filing is made on behalf of John Hancock Mutual Life Insurance Company ("JHMLICO"), JHMLICO's direct, wholly-owned subsidiary, John Hancock Subsidiaries, Inc. ("JHSI"), JHSI's direct, 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 and JHSI 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, Massachusetts 02199. Item 2(c) Citizenship: JHMLICO 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: 664196102 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: (c) (X) Insurance Company as defined in ss.3(a) (19) of the Act. (e) (X) Investment Adviser registered under ss.203 of the Investment Advisers Act of 1940. (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). PAGE 6 OF 9 PAGES JHSI: (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). TBFG: (g) (X) Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G). JHA: (e) (X) Investment Adviser registered under ss.203 of the Investment Advisers Act of 1940. Item 4 Ownership: (a) Amount Beneficially Owned: JHA has direct beneficial ownership of 63,000 shares of Common Stock. Through their parent-subsidiary relationship to JHA, JHMLICO, JHSI and TBFG have indirect, beneficial ownership of these same shares. 63,000 shares are held by the John Hancock Regional Bank Fund, an open-end diversified management company registered under ss.8 of the Investment Company Act. (b) Percent of Class: 3.6% (c) (i) sole power to vote or to direct the vote: JHA has sole power to vote or direct the vote of the 63,000 shares of Common Stock under the Advisory Agreement as follows: Date of Number Advisory Fund Name of Shares Agreement John Hancock Regional Bank Fund 63,000 July 1, 1996 (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 the 63,000 shares of Common Stock under the Advisory Agreement noted in Item 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: With this filing, the Reporting Persons state that they own five percent or less of Common Stock. Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Item 4. 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. PAGE 7 OF 9 PAGES 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. 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 3, 1998 Title: Senior Vice President & Treasurer John Hancock Subsidiaries, Inc. By: /s/John T. Farady ----------------------------------- Name: John T. Farady Dated: February 3, 1998 Title: Treasurer The Berkeley Financial Group By: /s/Susan S. Newton ----------------------------------- Name: Susan S. Newton Dated: February 3, 1998 Title: Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ----------------------------------- Name: Susan S. Newton Dated: February 3, 1998 Title: Vice President PAGE 8 OF 9 PAGES EXHIBIT A JOINT FILING AGREEMENT John Hancock Mutual Life Insurance Company, John Hancock Subsidiaries, Inc., The Berkeley Financial Group and John Hancock Advisers, Inc. agree that the Terminating Schedule 13G (Amendment No. 2), to which this Agreement is attached, relating to the Common Stock of Northeast Indiana Bancorp 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 3, 1998 Title: Senior Vice President & Treasurer John Hancock Subsidiaries, Inc. By: /s/John T. Farady ----------------------------------- Name: John T. Farady Dated: February 3, 1998 Title: Treasurer The Berkeley Financial Group By: /s/Susan S. Newton ----------------------------------- Name: Susan S. Newton Dated: February 3, 1998 Title: Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ----------------------------------- Name: Susan S. Newton Dated: February 3, 1998 Title: Vice President PAGE 9 OF 9 PAGES -----END PRIVACY-ENHANCED MESSAGE-----