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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. 1)*
Calgon Carbon Corporation
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
129603106
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(CUSIP Number)
Check here if a fee is being paid with this statement: . (A fee is not required
only if the filing person: (1) has a previous statement on file reporting
beneficial ownership of more than five percent of the class of securities
described in Item 1; and (2) has filed no amendment subsequent thereto reporting
beneficial ownership of five percent or less of such class.) (See Rule 13d-7).
*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 11 PAGES
<PAGE>
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CUSIP No. 129603106 13G Page 2 of 11 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
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3 SEC USE ONLY
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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-
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
None, except through its indirect, wholly-owned subsidiaries, NM
Capital Management, Inc. and John Hancock Advisers, Inc.
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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*
IC, BD, IA, HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 2 OF 11 PAGES
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CUSIP No. 129603106 13G Page 3 of 11 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
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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-
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
None, except through its indirect, wholly-owned subsidiaries NM
Capital Management, Inc., and John Hancock Advisers, Inc.
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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 3 OF 11 PAGES
<PAGE>
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CUSIP No. 129603106 13G Page 4 of 11 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Hancock Asset Management
I.R.S. No. 04-3279774
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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
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-
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
None, except through its indirect, wholly-owned subsidiaries, NM
Capital Management, Inc. and John Hancock Advisers, Inc.
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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 4 OF 11 PAGES
<PAGE>
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CUSIP No. 129603106 13G Page 5 of 11 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
I.R.S. No. 04-3145626
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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
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-
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,014,734: 2,875,034 through its direct, wholly-owned subsidiary, NM
Capital Management, Inc. and 139,700 through its direct, wholly-owned
subsidiary, John Hancock Advisers, Inc.
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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
7.6%
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12 TYPE OF REPORTING PERSON*
HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 5 OF 11 PAGES
<PAGE>
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CUSIP No. 129603106 13G Page 6 of 11 Pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
NM Capital Management, Inc.
I.R.S. No. 85-0268885
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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
New Mexico
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5 SOLE VOTING POWER
Number of
Shares 1,297,362
-------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each
-0-
-------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With 2,875,034
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,875,034
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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
7.2%
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12 TYPE OF REPORTING PERSON*
IA
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 6 OF 11 PAGES
<PAGE>
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: Six copies of this statement, including all exhibits, should be filed with
the Commission.
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
Item 1(a) Name of Issuer:
Calgon Carbon Corporation
Item 1(b) Address of Issuer's Principal Executive Offices:
P.O. Box 717
400 Calgon Carbon Drive
Pittsburgh, PA 15230
Item 2(a) Name of Person Filing:
This filing is made on behalf of John Hancock Mutual Life
Insurance Company ("JHMLICO"), JHMLICO's direct,
wholly-owned subsidiary, John Hancock Subsidiaries, Inc.
("JHSI"), JHSI's direct, wholly-owned subsidiary, John
Hancock Asset Management ("JHAM"), JHAM's wholly-owned
subsidiary, The Berkeley Financial Group ("TBFG") and TBFG's
direct wholly-owned subsidiary, NM Capital Management, Inc.
("NM").
Item 2(b) Address of the Principal Offices:
The principal business offices of JHMLICO, JHSI and JHAM are
located at John Hancock Place, P.O. Box 111, Boston, MA
02117. The principle business office of TBFG is located at
101 Huntington Avenue, Boston, Massachusetts 02199. The
principal business office of NM is 6501 Americas Parkway,
Suite 950, Albuquerque, NM 87110-5372.
Item 2(c) Citizenship:
JHMLICO, JHAM and TBFG were organized and exist under the
laws of the Commonwealth of Massachusetts. JHSI was
organized and exists under the laws of the State of
Delaware. NM was organized and exists under the laws of the
State of New Mexico.
Item 2(d) Title of Class of Securities:
Common Stock
Item 2(e) CUSIP Number:
129603106
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:
JHMLICO: (a) (X) Broker or Dealer registered under ss.15
of the Act.
(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).
PAGE 7 OF 11 PAGES
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JHSI: (g) (X) Parent Holding Company, in accordance
with ss.240.13d-1(b)(ii)(G).
JHAM: (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).
NM: (e) (X) Investment Adviser registered under
ss.203 of the Investment Advisers Act of
1940.
Item 4 Ownership:
(a) Amount Beneficially Owned: NM beneficially owns
2,875,034 shares of Common Stock in various advisory
accounts. In addition to the shares owned by NM, John
Hancock Advisers, Inc. ("JHA"), an Investment Adviser
registered under ss.203 of the Investment Advisers Act
of 1940 and a direct, wholly-owned subsidiary of TBFG,
beneficially owns 139,700 shares of Common Stock.
Through their parent-subsidiary relationship to NM and
JHA, JHMLICO, JHSI, JHAM and TBFG have indirect,
beneficial ownership of these same shares.
The JHA shares are held by the:
John Hancock Special Value Fund, an open-end
diversified management company registered under ss.8 of
the Investment Company Act. Under an Advisory Agreement
dated October 1, 1993, JHA has beneficial ownership of
the 117,800 shares held in the fund.
John Hancock Institutional Series Trust - John Hancock
Fundamental Value Fund, an open-end diversified
management company registered under ss.8 of the
Investment Company Act. Under an Advisory Agreement
dated April 3, 1995, JHA has beneficial ownership of
the 21,900 shares held in the fund.
(b) Percent of Class:
TBFG: 7.6%
NM: 7.2%
(c) (i) sole power to vote or to direct the vote:
NM: 1,297,362
JHA: 139,700
(ii) shared power to vote or to direct the vote:
-0-
(iii) sole power to dispose or to direct the
disposition of:
NM: 2,875,034
JHA: 139,700
(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.
PAGE 8 OF 11 PAGES
<PAGE>
Item 6 Ownership of More than Five Percent on Behalf of Another
Person:
See Item 4(a).
Item 7 Identification and Classification of the Subsidiary which
Acquired the Security Being Reported on by the Parent
Holding Company:
See Items 2(a), 3 and 4.
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 9 OF 11 PAGES
<PAGE>
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 Mutual Life Insurance Company
By: /s/ Marion L. Nierintz
Name: Marion L. Nierintz
Dated: January 21, 1997 Title: Second Vice President
John Hancock Subsidiaries, Inc.
By: /s/ Marion L. Nierintz
Name: Marion L. Nierintz
Dated: January 21, 1997 Title: Secretary
John Hancock Asset Management
By: /s/ James H. Young
Name: James H. Young
Dated: January 21, 1997 Title: Secretary
The Berkeley Financial Group
By: /s/ Susan S. Newton
Name: Susan S. Newton
Dated: January 21, 1997 Title: Vice President
NM Capital Management, Inc.
By: /s/ Susan S. Newton
Name: Susan S. Newton
Dated: January 21, 1997 Title: Assistant Secretary
PAGE 10 OF 11 PAGES
<PAGE>
EXHIBIT A
JOINT FILING AGREEMENT
John Hancock Mutual Life Insurance Company, John Hancock Subsidiaries,
Inc., John Hancock Asset Management, The Berkeley Financial Group and NM Capital
Management, Inc. agree that the Schedule 13G (Amendment No. 1), to which this
Agreement is attached, relating to the Common Stock of Calgon Carbon Corporation
is filed on behalf of each of them.
John Hancock Mutual Life Insurance Company
By: /s/ Marion L. Nierintz
Name: Marion L. Nierintz
Dated: January 21, 1997 Title: Second Vice President
John Hancock Subsidiaries, Inc.
By: /s/ Marion L. Nierintz
Name: Marion L. Nierintz
Dated: January 21, 1997 Title: Secretary
John Hancock Asset Management
By: /s/ James H. Young
Name: James H. Young
Dated: January 21, 1997 Title: Secretary
The Berkeley Financial Group
By: /s/ Susan S. Newton
Name: Susan S. Newton
Dated: January 21, 1997 Title: Vice President
NM Capital Management, Inc.
By: /s/ Susan S. Newton
Name: Susan S. Newton
Dated: January 21, 1997 Title: Assistant Secretary
PAGE 11 OF 11 PAGES
