-----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, J5qMf9jlP9B1vAKn626gP52IzsHxOfjDO360QRUy2xN3D/QcOEB2iqty3vkcj/Cr /Xv20sYpoYBssbVz3aDmSw== /in/edgar/work/0001010521-00-000456/0001010521-00-000456.txt : 20001114 0001010521-00-000456.hdr.sgml : 20001114 ACCESSION NUMBER: 0001010521-00-000456 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001030 FILED AS OF DATE: 20001113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHILLIPS R H INC CENTRAL INDEX KEY: 0000925712 STANDARD INDUSTRIAL CLASSIFICATION: [2080 ] IRS NUMBER: 680313739 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-26276 FILM NUMBER: 762257 BUSINESS ADDRESS: STREET 1: 26836 COUNTY RD STREET 2: SUITE 12A CITY: ESPARTO STATE: CA ZIP: 95627 BUSINESS PHONE: 9166623215 MAIL ADDRESS: STREET 1: 26836 COUNTY ROAD STREET 2: SUITE 12A CITY: ESPARTO STATE: CA ZIP: 95627 COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN LIFE INSURANCE CO CENTRAL INDEX KEY: 0000917406 STANDARD INDUSTRIAL CLASSIFICATION: [6311 ]OWNER IRS NUMBER: 041414660 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 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 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA DATE OF NAME CHANGE: 19940111 4 1 0001.txt R.H. PHILLIPS, INC. ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: December 31, 2001 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [X] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b*). ________________________________________________________________________________ 1. Name and Address of Reporting Person* John Hancock Life Insurance Company - -------------------------------------------------------------------------------- (Last) (First) (Middle) P.O. Box 111 - -------------------------------------------------------------------------------- (Street) Boston MA 02117 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol R.H. Phillips, Inc. (RHPS) ________________________________________________________________________________ 3. IRS or Social Security Number of Reporting Person (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 10/00 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) N/A ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [_] Form filed by More than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. Owner- Securities Acquired (A) or ship Disposed of (D) 5. Form: 7. (Instr. 3, 4 and 5) Amount of Direct Nature of 2. 3. ----------------------------- Securities (D) or Indirect 1. Transaction Transaction (A) Beneficially Indirect Beneficial Title of Security Date Code Amount or Price Owned at End (I) Ownership (Instr. 3) (Month/Day/Year) (Instr. 8) (D) of Month (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10/4/00 U 375,962 D 7.00 0 D - ------------------------------------------------------------------------------------------------------------------------------------ 12% Senior Redeemable Preferred Stock (non-voting) 3/15/99 J (1) 500,000 D (1) 0 D - ------------------------------------------------------------------------------------------------------------------------------------ Redeemable Exchangeable Preferred Stock 3/15/99 J (1) 250,000 A (1) D - ------------------------------------------------------------------------------------------------------------------------------------ Redeemable Exchangeable Preferred Stock 3/15/00 J (2) 250,000 D (2) 0 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the form is filed by more than one reporting person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) SEC 1474 (3/99) Page 1 of 2 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Warrants 10/4/00 U 1,346,788 3/27/97 3/27/06 Stock 1,346,788 7.00 0 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
(1) In March 1996, John Hancock Life Insurance Company ("JHLICO") purchased 500,000 shares of Senior Preferred Redeemable stock ("Senior Preferred Stock"). In March 1999, JHLICO exchanged the Senior Preferred Stock for $2,500,000 in aggregate principal amount 14% Unsecured Subordinate Debt and 250,000 shares of Redeemable Exchangeable Preferred Stock. (2) In March of 2000, John Hancock Life Insurance Company converted 250,000 shares of Redeemable Exchangeable Preferred stock into $2,500,000 in aggregate principal amount 14% Unsecured Subordinate Debt. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. JOHN HANCOCK LIFE INSURANCE COMPANY By:/s/Marion L. Nierintz - --------------------------------------------- ----------------------- Marion L. Nierintz Date Second Vice President Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----