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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL SCHEDULE 13G
Under the Securities Exchange Act of 1934
Hartford Life, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
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(Title of Class of Securities)
416592103
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(CUSIP Number)
December 31, 1998
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is file:
[ 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 8 PAGES
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<TABLE>
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<S> <C> <C>
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CUSIP No. 416592103 13G Page 2 of 8 Pages
- ---------- -------------------------------------------------------------------------------------------------------------
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
- ---------- -------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
N/A
- ---------- -------------------------------------------------------------------------------------------------------------
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-
- ---------- -------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
None, except through its indirect, wholly-owned subsidiaries, Independence Investment Associates, 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, IA, HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 2 OF 8 PAGES
<PAGE>
- ----------------------------------------- --------------------------------------
CUSIP No. 416592103 13G Page 3 of 8 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
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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
Delaware
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5 SOLE VOTING POWER
Number of 1,680,705: 1,394,500 through its direct, wholly-owned subsidiary, Independence
Shares Investment Associates, Inc., and 286,205 through its indirect, wholly-owned subsidiary,
John Hancock Advisers, Inc.
-------- -------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- -------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person 1,680,705: 1,394,500 through its direct, wholly-owned subsidiary, Independence
With Investment Associates, Inc., and 286,205 through its indirect, wholly-owned subsidiary,
John Hancock Advisers, Inc.
-------- -------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
- ---------- -------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,680,705: 1,394,500 through its direct, wholly-owned subsidiary,
Independence Investment Associates, Inc., and 286,205 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
6.5: 5.4% through its direct, wholly-owned subsidiary, Independence
Investment Associates, Inc., and 1.1% through its indirect,
wholly-owned subsidiary, John Hancock Advisers, Inc.
- ---------- -------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
HC
- ---------- -------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 3 OF 8 PAGES
<PAGE>
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CUSIP No. 416592103 13G Page 4 of 8 Pages
- ---------- -------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Independent Investment Associates, Inc.
I.R.S. No. 04-2769294
- ---------- -------------------------------------------------------------------------------------------------------------
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 1,394,500
-------- -------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- -------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With 1,394,500
-------- -------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
- ---------- -------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,394,500
- ---------- -------------------------------------------------------------------------------------------------------------
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
5.4%
- ---------- -------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IC, IA, HC
- ---------- -------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 4 OF 8 PAGES
</TABLE>
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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:
Hartford Life, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
200 Hopmeadow Street
Simsbury, CT 06089
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"), and JHSI's direct, wholly-owned subsidiary,
Independence Investment Associates, Inc. ("IIA").
Item 2(b) Address of the Principal Offices:
The principal business offices of JHMLICO and JHSI are
located at John Hancock Place, P.O. Box 111, Boston, MA
02117. The principal business office of IIA is located at
53 State Street, Suite 1500, Boston, MA 02109.
Item 2(c) Citizenship:
JHMLICO was organized and exists under the laws of the
Commonwealth of Massachusetts. JHSI and IIA 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:
416592103
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: (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).
IIA: (e) (X) Investment Adviser registered under
ss.203 of the Investment Advisers
Act of 1940.
PAGE 5 OF 8 PAGES
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Item 4 Ownership:
(a) Amount Beneficially Owned: Independence Investment
Associates, Inc. ("IIA") has beneficial ownership
of 1,394,500 shares of Common Stock. In addition,
John Hancock Advisers, Inc. ("JHA"), an Investment
Adviser registered under ss.203 of the Investment
Advisers Act of 1940, a direct, wholly-owned
subsidiary of JHSI and the indirect, wholly-owned
subsidiary of JHMLICO, has beneficial ownership of
286,205 shares of Common Stock. Through their
parent-subsidiary relationships to IIA and JHA,
JHMLICO and JHSI have indirect, beneficial
ownership of the IIA and JHA shares.
The IIA shares are held in various advisory
accounts. The JHA shares are held in various
Investment Companies registered under ss.8 of the
Investment Company Act and in private advisory
accounts.
(b) Percent of Class:
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JHMLICO 6.5%
JHSI 6.5%
IIA 5.4%
JHA 1.1%
(c) (i) sole power to vote or to direct the
vote: IIA has sole power to vote or direct
the vote of 1,394,500 shares of Common
Stock. JHA has sole power to vote or direct
the vote of 286,205 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: IIA has sole power to
disclose or direct the disposition of
1,394,500 shares of Common Stock. JHA has
sole power to dispose or direct the
disposition of 286,205 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:
See Item 4 above.
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 6 OF 8 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 Mutual Life Insurance Company
By: /s/Gregory P. Winn
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Name: Gregory P. Winn
Dated: February 9, 1999 Title: Vice President & Treasurer
John Hancock Subsidiaries, Inc.
By: /s/Gregory P. Winn
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Name: Gregory P. Winn
Dated: February 9, 1999 Title: Treasurer
Independent Investment Associates, Inc.
By: /s/Mark C. Lapman
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Name: Mark C. Lapman
Dated: February 9, 1999 Title: Executive Vice President
PAGE 7 OF 8 PAGES
<PAGE>
EXHIBIT A
JOINT FILING AGREEMENT
----------------------
John Hancock Mutual Life Insurance Company, John Hancock Subsidiaries, Inc.
and Independence Investment Associates, Inc. agree that the Initial Schedule
13G, to which this Agreement is attached, relating to the Common Stock of
Hartford Life, Inc. is filed on behalf of each of them.
John Hancock Mutual Life Insurance Company
By: /s/Gregory P. Winn
-------------------------------------
Name: Gregory P. Winn
Dated: February 9, 1999 Title: Vice President & Treasurer
John Hancock Subsidiaries, Inc.
By: /s/Gregory P. Winn
-------------------------------------
Name: Gregory P. Winn
Dated: February 9, 1999 Title: Treasurer
Independence Investment Associates, Inc.
By: /s/Mark C. Lapman
-------------------------------------
Name: Mark C. Lapman
Dated: February 9, 1999 Title: Executive Vice President
PAGE 8 OF 8 PAGES
