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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Oak Industries Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
671400505
- --------------------------------------------------------------------------------
(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 10 PAGES
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<S> <C> <C>
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CUSIP No. 671400505 13G Page 2 of 10 Pages
- ----------------------------------------- --------------------------------------
- ---------- -------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Hancock Financial Services, Inc.
I.R.S. No. 04-3483032
- ---------- -------------------------------------------------------------------------------------------------------------
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 subsidiaries, John Hancock
Advisers, Inc. and NM Capital Management, 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 2 OF 10 PAGES
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- ----------------------------------------- --------------------------------------
CUSIP No. 671400505 13G Page 3 of 10 Pages
- ----------------------------------------- --------------------------------------
- ---------- -------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Hancock Life Insurance Company (formerly named 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 subsidiaries, John Hancock
Advisers, Inc. and NM Capital Management, 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 3 OF 10 PAGES
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CUSIP No. 671400505 13G Page 4 of 10 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 subsidiaries, John Hancock
Advisers, Inc. and NM Capital Management, 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 10 PAGES
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CUSIP No. 671400505 13G Page 5 of 10 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 1,398,720: 1,386,240 through its direct, wholly-owned subsidiary, John Hancock Advisers,
Inc. and 12,480 through its direct, wholly-owned subsidiary, NM Capital Management, Inc.
-------- -------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- -------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With 1,424,170: 1,386,240 through its direct, wholly-owned subsidiary, John Hancock Advisers,
Inc. and 37,930 through its direct, wholly-owned subsidiary, NM Capital Management, Inc.
-------- -------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
- ---------- -------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,424,170: 1,386,240 through its direct, wholly-owned subsidiary,
John Hancock Advisers, Inc. and 37,930 through its direct,
wholly-owned subsidiary, NM Capital Management, 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
8.2%: 8.0% through its direct, wholly-owned subsidiary, John Hancock
Advisers, Inc. and .2% through its direct, wholly-owned subsidiary,
NM Capital Management, Inc.
- ---------- -------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
HC
- ---------- -------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 5 OF 10 PAGES
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CUSIP No. 671400505 13G Page 6 of 10 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 1,386,240
-------- -------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- -------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With 1,386,240
-------- -------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
- ---------- -------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,386,240
- ---------- -------------------------------------------------------------------------------------------------------------
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
8.0%
- ---------- -------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
- ---------- -------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 6 OF 10 PAGES
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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:
Oak Industries Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
1000 Winter Street
Waltham, MA 02154
Item 2(a) Name of Person Filing:
This filing is made on behalf of John Hancock Financial
Services, Inc. ("JHF"), JHF's direct, wholly-owned
subsidiary, John Hancock Life Insurance Company
("JHLICO"), JHLICO'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").
Effective February 1, 2000, JHF became the parent of
JHLICO, formerly named John Hancock Mutual Life Insurance
Company.
Item 2(b) Address of the Principal Offices:
The principal business offices of JHF, JHLICO 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:
JHLICO was organized and exists under the laws of the
Commonwealth of Massachusetts. JHF, JHSI, TBFG 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:
671400505
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:
JHF: (g) (X) Parent Holding Company, in accordance
with ss.240.13d-1(b)(ii)(G).
JHLICO: (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).
Advisers Act of 1940.
JHA: (e) (X) Investment Adviser registered under
ss.203 of the Investment
PAGE 7 OF 10 PAGES
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Item 4 Ownership:
(a) Amount Beneficially Owned: JHA has direct beneficial
ownership of 1,386,240 shares of Common Stock.
Through their parent-subsidiary relationship to JHA,
JHF, JHLICO, JHSI and TBFG have indirect, beneficial
ownership of these same shares. In addition, TBFG's
wholly-owned subsidiary, NM Capital Management, Inc.
("NM") has direct, beneficial ownership of 37,930
shares of Common Stock.
(b) Percent of Class:
TBFG - 8.2%
JHA - 8.0%
NM - .2%
(c) (i) sole power to vote or to direct the
vote: JHA has sole power to vote or to
direct the vote of 1,386,240 shares of
Common Stock under the Advisory Agreements
as follows:
Number Date of
Fund Name of Shares Advisory Agreement
--------- --------- ------------------
Stein Ventures LP 1,000 January 19, 1998
INSINK Partnership, Ltd. 220 September 30, 1999
John Hancock V.A. Mid Cap Growth Fund 920 January 2, 1998
John Hancock V.A. Large Cap Value Fund 33,500 January 2, 1998
John Hancock Small Cap Value Fund 134,800 October 31, 1998
John Hancock Mid Cap Growth Fund 54,100 July 1, 1996
John Hancock Small Capitalization Value Fund 7,250 April 3, 1995
John Hancock Medium Capitalization Growth Fund 4,450 January 30, 1995
John Hancock Large Cap Value Fund 1,150,000 December 22, 1994
In addition, NM has sole power to vote or to direct
the vote of 12,480 shares of Common Stock.
(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 1,386,240 shares of Common Stock
under the Advisory Agreements noted in Item 4(c)(i)
above. In addition, NM has sole power to dispose or
to direct the disposition of 37,930 shares of Common
Stock.
(iv) shared power to dispose or to direct the
disposition of: -0-
Item 5 Ownership of Five Percent or Less of a Class:
Not applicable.
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 8 OF 10 PAGES
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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 Financial Services, Inc.
By: /s/Barry J. Rubenstein
-------------------------------------
Name: Barry J. Rubenstein
Dated: February 8, 2000 Title: Vice President, Counsel and Secretary
John Hancock Life Insurance Company
By: /s/Marion L. Nierintz
---------------------------------------------
Name: Marion L. Nierintz
Dated: February 8, 2000 Title: Second Vice President and Assistant Secretary
John Hancock Subsidiaries, Inc.
By: /s/Marion L. Nierintz
---------------------
Name: Marion L. Nierintz
Dated: February 8, 2000 Title: Secretary
The Berkeley Financial Group, Inc.
By: /s/Susan S. Newton
------------------
Name: Susan S. Newton
Dated: February 8, 2000 Title: Vice President
John Hancock Advisers, Inc.
By: /s/Susan S. Newton
------------------
Name: Susan S. Newton
Dated: February 8, 2000 Title: Vice President
PAGE 9 OF 10 PAGES
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EXHIBIT A
JOINT FILING AGREEMENT
John Hancock Financial Services, Inc., John Hancock Life Insurance
Company, John Hancock Subsidiaries, Inc., The Berkeley Financial Group and John
Hancock Advisers, Inc. agree that the Schedule 13G (Amendment No. 2) to which
this Agreement is attached, relating to the Common Stock of Oak Industries Inc.
is filed on behalf of each of them.
John Hancock Financial Services, Inc.
By: /s/Barry J. Rubenstein
-------------------------------------
Name: Barry J. Rubenstein
Dated: February 8, 2000 Title: Vice President, Counsel and Secretary
John Hancock Life Insurance Company
By: /s/Marion L. Nierintz
---------------------------------------------
Name: Marion L. Nierintz
Dated: February 8, 2000 Title: Second Vice President and Assistant Secretary
John Hancock Subsidiaries, Inc.
By: /s/Marion L. Nierintz
---------------------
Name: Marion L. Nierintz
Dated: February 8, 2000 Title: Secretary
The Berkeley Financial Group, Inc.
By: /s/Susan S. Newton
------------------
Name: Susan S. Newton
Dated: February 8, 2000 Title: Vice President
John Hancock Advisers, Inc.
By: /s/Susan S. Newton
------------------
Name: Susan S. Newton
Dated: February 8, 2000 Title: Vice President
PAGE 10 OF 10 PAGES
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