-----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, WHUuHMGmz8Nii/19N0d7EU1RZsZfnL9DeUFF9kkLHv5/qdSaoap1BV1fk1kMhhGd 9c8Xwc/6WOp870qsn3torA== 0001010521-00-000036.txt : 20000202 0001010521-00-000036.hdr.sgml : 20000202 ACCESSION NUMBER: 0001010521-00-000036 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000114 GROUP MEMBERS: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA GROUP MEMBERS: JOHN HANCOCK ADVISERS, INC. GROUP MEMBERS: JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY GROUP MEMBERS: JOHN HANCOCK SUBSIDIARIES, INC. GROUP MEMBERS: THE BERKELEY FINANCIAL GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN ITALIAN PASTA CO CENTRAL INDEX KEY: 0000849667 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS FOOD PREPARATIONS & KINDRED PRODUCTS [2090] IRS NUMBER: 841032638 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53419 FILM NUMBER: 507554 BUSINESS ADDRESS: STREET 1: 1000 ITALIAN WAY CITY: EXCELSIOR SPRINGS STATE: MO ZIP: 64024 BUSINESS PHONE: 8165026000 MAIL ADDRESS: STREET 1: 1000 ITALIAN WAY CITY: EXCELSIOR SPRINGS STATE: MO ZIP: 64024 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 AMERICAN ITALIAN PASTA CO ------------------------------ OMB APPROVAL OMB Number 3235-0145 Expires: January 30, 2000 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. 1) American Italian Pasta Company - -------------------------------------------------------------------------------- (Name of Issuer) Class A Convertible Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 027070101 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *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. 027070101 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. 027070101 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. 027070101 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, Inc. 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 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 4 OF 9 PAGES - ----------------------------------------- -------------------------------------- CUSIP No. 027070101 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 321,000 -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With 321,000 -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 321,000 - ---------- ------------------------------------------------------------------------------------------------------------- 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 1.8% - ---------- ------------------------------------------------------------------------------------------------------------- 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: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Sec. 240.13d-7 for other parties for whom copies are to be sent. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) Item 1(a) Name of Issuer: American Italian Pasta Company Item 1(b) Address of Issuer's Principal Executive Offices: 1000 Italian Way Excelsior Springs, MO 64024 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, Inc. ("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 was organized and exists under the laws of the Commonwealth of Massachusetts. JHSI, TBFG and JHA were organized and exist under the laws of the State of Delaware. Item 2(d) Title of Class of Securities: Class A Convertible Common Stock Item 2(e) CUSIP Number: 027070101 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). 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. PAGE 6 OF 9 PAGES Item 4 Ownership: (a) Amount Beneficially Owned: JHA has direct beneficial ownership of 321,000 shares of Common Stock. Through their parent-subsidiary relationship to JHA, JHMLICO, JHSI and TBFG have indirect, beneficial ownership of these same shares. (b) Percent of Class: 1.8% (c) (i) sole power to vote or to direct the vote: JHA has sole power to vote or to direct the vote of 321,000 shares of Common Stock under the Advisory Agreements as follows: Date of Number Advisory Fund Name of Shares Agreement --------- --------- --------- John Hancock Small Cap - Pension 13,100 November 1, 1998 John Hancock V.A. Small Cap Growth Fund 3,400 August 29, 1996 John Hancock Small Capitalization Growth Fund 900 December 11, 1995 John Hancock Small Cap Growth Fund 252,000 December 2, 1996 UFF Croissance Amerique 9,000 October 6, 1997 John Hancock Variable Series Trust 1 - Small Cap 28,800 March 29, 1996 Growth Portfolio Indosuez North America Smaller Companies 3,800 March 15, 1999 Portfolio Maritime Life Discovery Fund 10,000 May 11, 1994 (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 321,000 shares of Common Stock under the Advisory Agreements 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: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [X] 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. 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 7 OF 9 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/Gregory P. Winn ---------------------------- Name: Gregory P. Winn Dated: January 14, 2000 Title: Vice President and Treasurer John Hancock Subsidiaries, Inc. By: /s/Gregory P. Winn ---------------------------- Name: Gregory P. Winn Dated: January 14, 2000 Title: Treasurer The Berkeley Financial Group, Inc. By: /s/Susan S. Newton ---------------------------- Name: Susan S. Newton Dated: January 14, 2000 Title: Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ---------------------------- Name: Susan S. Newton Dated: January 14, 2000 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 Terminated Schedule 13G (Amendment No. 1) to which this Agreement is attached, relating to the Common Stock of American Italian Pasta Company is filed on behalf of each of them. John Hancock Mutual Life Insurance Company By: /s/Gregory P. Winn ----------------------------------- Name: Gregory P. Winn Dated: January 14, 2000 Title: Vice President and Treasurer John Hancock Subsidiaries, Inc. By: /s/Gregory P. Winn ----------------------------------- Name: Gregory P. Winn Dated: January 14, 2000 Title: Treasurer The Berkeley Financial Group, Inc. By: /s/Susan S. Newton ----------------------------------- Name: Susan S. Newton Dated: January 14, 2000 Title: Vice President John Hancock Advisers, Inc. By: /s/Susan S. Newton ----------------------------------- Name: Susan S. Newton Dated: January 14, 2000 Title: Vice President PAGE 9 OF 9 PAGES -----END PRIVACY-ENHANCED MESSAGE-----