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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL SCHEDULE 13G
Under the Securities Exchange Act of 1934
Samuels Jewelers, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
796060101
- --------------------------------------------------------------------------------
(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. 796060101 13G Page 2 of 10 Pages
- ----------------------------------------- --------------------------------------
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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
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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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
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
See line 9, above.
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12 TYPE OF REPORTING PERSON*
HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 2 OF 10 PAGES
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CUSIP No. 796060101 13G Page 3 of 10 Pages
- ----------------------------------------- --------------------------------------
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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
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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
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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.
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12 TYPE OF REPORTING PERSON*
IC, IA, HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 3 OF 10 PAGES
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CUSIP No. 796060101 13G Page 4 of 10 Pages
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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.
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12 TYPE OF REPORTING PERSON*
HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 4 OF 10 PAGES
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CUSIP No. 796060101 13G Page 5 of 10 Pages
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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 5 OF 10 PAGES
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CUSIP No. 796060101 13G Page 6 of 10 Pages
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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 302,612
-------- -------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- -------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With 302,612
-------- -------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
- ---------- -------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
302,612
- ---------- -------------------------------------------------------------------------------------------------------------
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
6.0%
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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:
Samuels Jewelers, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
2914 Montopolis Drive
Suite 200
Austin, TX 78741
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:
796060101
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).
PAGE 7 OF 10 PAGES
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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.
Item 4 Ownership:
(a) Amount Beneficially Owned: JHA has direct beneficial
ownership of 302,612 shares. 300,000 are Common
Stock, and 2,612 are Warrants exercisable immediately
into Common Stock. Through their parent-subsidiary
relationship to JHA, JHF, JHLICO, JHSI and TBFG have
indirect, beneficial ownership of these same shares.
(b) Percent of Class: 6.0%
(c) (i) sole power to vote or to direct the vote:
JHA has sole power to vote or to direct the
vote of 302,612 shares: 300,000 are Common
Stock, and 2,612 are Warrants exercisable
immediately into Common Stock, under the
Advisory Agreement as follows:
Date of
Number Advisory
Fund Name of Shares Agreement
--------- --------- ---------
John Hancock High Yield Bond Fund 302,612 8/30/96
(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 302,612 shares:
300,000 are Common Stock, and 2,612 are Warrants
exercisable immediately into Common Stock,
under the Advisory Agreement 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:
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 & 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 Initial Schedule 13G to which this
Agreement is attached, relating to the Common Stock of Samuels Jewelers, 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 & 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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