-----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, HtrJHl8BZ97Vxu84h1tCcRVZTu1fvgVUseVLjhwAjryBu3wktQTnchn2pE5mOUEk iIjBPDhxI2H9JJNHSunHCg== 0001283411-04-000020.txt : 20040707 0001283411-04-000020.hdr.sgml : 20040707 20040707110621 ACCESSION NUMBER: 0001283411-04-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20031106 FILED AS OF DATE: 20040707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HANCOCK JOHN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0000736260 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12050 FILM NUMBER: 04903720 BUSINESS ADDRESS: STREET 1: LAW DIVISION STREET 2: PO BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 MAIL ADDRESS: STREET 1: LAW DIVISION STREET 2: PO BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SAFEGUARD HEALTH ENTERPRISES INC CENTRAL INDEX KEY: 0000727303 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 521528581 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 95 ENTERPRISE T CITY: ALISO VIEJO STATE: CA ZIP: 92656-2601 BUSINESS PHONE: 9494254110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HANCOCK JOHN LIFE INSURANCE CO CENTRAL INDEX KEY: 0000917406 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12050 FILM NUMBER: 04903719 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 NAME: FORMER CONFORMED NAME: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA DATE OF NAME CHANGE: 19940111 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2003-11-06 0 0000727303 SAFEGUARD HEALTH ENTERPRISES INC SFGD 0000736260 HANCOCK JOHN FINANCIAL SERVICES INC LAW DIVISION PO BOX 111 BOSTON MA 02117 0 0 1 0 0000917406 HANCOCK JOHN LIFE INSURANCE CO CORPORATE LAW DIVISION T-55 P O BOX 111 BOSTON MA 02117 0 0 1 0 6% Convertible Notes 1.75 2003-11-06 4 P 0 4152542 4152542 A 2013-10-31 Common Stock 2372881 4152542 I By JHLICO 6% Convertible Notes 1.75 2003-11-06 4 P 0 677966 677966 A 2013-10-31 Common Stock 387409 677966 I By JHVLICO 6% Convertible Notes 1.75 2003-11-06 4 P 0 169492 169492 A 2013-10-31 Common Stock 96853 169492 I By IPL Series B Preferred Stock 2003-12-05 4 J 0 369231 D Common Stock 369231 0 I By Bell Atlantic Master Trust Series D Preferred Stock 2003-12-05 4 J 0 1015384 D Common Stock 1015384 0 I By Bell Atlantic Master Trust Securities are owned directly by John Hancock Life Insurance Company ("JHLICO"), a direct, wholly-owned subsidiary of John Hancock Financial Services, Inc. ("JHFS"). Exercisable Immediately. This number does not include 13,615,385 shares of common stock convertible from Series B Preferred Stock and Series D Preferred Stock held in other accounts. John Hancock Variable Life Insurance Company ("JHVLICO") is a direct, wholly-owned subsidiary of JHLICO. Investors Partner Life Insurance Company is a driect, wholly-owned subsidiary of JHVLICO. The preferred shares are convertible into common stock at a ratio of one share of common stock for each share of preferred stock. JHLICO was deemed the beneficial owner of 369,231 shares of Series B Preferred Stock and 1,015,384 shares of Series D Preferred Stock owned by Mellon Bank, N.A., solely in its capacity as Trustee for Bell Atlantic Master Trust, as to which shares JHLICO had the power to vote and to direct this dispostion. As of December 5, 2003, JHLICO ceased being Trustee of the Bell Atlantic Master Trust. Not applicable. /s/Antoniette Ricci, Assistant Secretary 2004-06-30 EX-99 2 info.txt JOINT FILER INFORMATION Joint Filer Information ----------------------- Issuer Name and Trading Symbol: SafeGuard Health Enterprises ("SFGD") Statement for: November 6, 2003 Designated Reporter: John Hancock Financial Services, Inc. 1. Name and address of Reporting Person: ------------------------------------ John Hancock Life Insurance Company 200 Claredon Street Boston, MA 02117 IRS Number: 04-1414660 ---------- By: /s/Barry E. Welch -------------------------------------------- Barry E. Welch Senior Managing Director and Group Principal -----END PRIVACY-ENHANCED MESSAGE-----