-----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, EW4bjFn9JVp0M5Jd2uN1oC4n7yFuKkJW+lNKoFFcGTreDdknLth3l7RvD7a7yIgH kTdri30d3sOLBRd01gu0DA== 0001010521-99-000180.txt : 19990413 0001010521-99-000180.hdr.sgml : 19990413 ACCESSION NUMBER: 0001010521-99-000180 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990412 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: K SWISS INC CENTRAL INDEX KEY: 0000862480 STANDARD INDUSTRIAL CLASSIFICATION: FOOTWEAR, (NO RUBBER) [3140] IRS NUMBER: 954265988 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-18490 FILM NUMBER: 99591904 BUSINESS ADDRESS: STREET 1: 31248 OAK CREST DRIVE CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: 8187065100 MAIL ADDRESS: STREET 1: 31248 OAK CREST DR CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA CENTRAL INDEX KEY: 0000917406 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] 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 4 1 K-SWISS, INC. ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: April 30, 1999 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 Mutual 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 K-Swiss, Inc. (KSWS) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) 04-1414660 ================================================================================ 4. Statement for Month/Year 3/99 ================================================================================ 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) ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
1. Title of Security 2. Trans- 3.Trans- 4. Securities Acquired (A) 5. Amount of 6.Owner- 7.Nature (Instr. 3) action action or Disposed of (D) Securities Ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct Instr. 8) Owned at Direct Bene- ------------------------------------------ End of Month (D) or ficial (Month/ Indirect Owner- Day/ (A) or (I) ship Year) Code V Amount (D) Price (Instr.4) (Instr.4) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 3/24/99 S 132,000 D $23.41 534,386(fn1) D N/A - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficiall owned directly or indirectly. (Over) (Print or Type Responses) SEC 1474 (3/91) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
==================================================================================================================================== 1.Title 2.Conver- 3.Trans- 4.Transac- 5.Number of 6.Date Exer- 7.Title 8.Price 9.Number 10.Owner- 11.Na- of sion or action tion Code Derivative cisable and of of ship ture Deri- Exercise Date (Instr. 8) Securities and Ex- Amount Deriv- Deriv- Form of In- vative Price Acquired piration of ative ative of De- direct Security of (Month/ (A) or Date Under- Secur- Secur- rivative Bene- (Instr. 3) Deriv- Day/ Disposed of (Month/ lying ity ities Secu- ficial ative Year) (D) (Instr. Day/ Year) Secur- (Instr. 5) Bene- rity; Own- Security 3, 4 and 5) ities ficially Direct ership (Instr. 3 Owned (D) or (Instr. 4) and at End Indi- 4) of rent (l) ------------------------------------------------------ Month (Instr. 4) Code V (A) (D) Date Expira- Title Amount Exer- tion or cisable Date Number of Shares - ------------------------------------------------------------------------------------------------------------------------------------ Collar arrange- Common ment(right/ (fn2) 3/10/99 J 1 3/13/04 3/13/04 Stock 200,000(fn1) (fn2) 1 D obligation to sell) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanations of Responses: (1) On March 15, 1999, the Common Stock of K-Swiss split 2 for 1 resulting in the Reporting Person's acquisition of an additional 418,193 shares of Class A Common Stock. The collar arrangement reported in Table 2 was entered into with respect to 100,000 shares of Common Stock, but has been adjusted to reflect the stock split. (2) On March 10, 1999, the Reporting Person entered into a collar arrangement with a financial institution. Under the terms of the collar arrangement, on its expiration date, 3/13/04, the Reporting Person has the right to require the financial institution to purchase 200,000 shares of K-Swiss, Inc. common stock from the Reporting person at a price of $48.79125 per share or alternatively, the financial institution has the right to require the Reporting Person to sell to it 200,000 share of K-Swiss, Inc. common stock at a price of $59.6338 per share. In connection with the execution of the collar arrangement, the financial institution paid a net fee of $1,067,986 to the Reporting Person. JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY By:/s/Jane T. Philippi --------------------- ------------ Jane T. Philippi Date Vice President ****Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Page 2 SEC 1474 (3/91) Note: File three copies of this Form, one of which must be manually signed If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----