Hancock John Financial Services Inc – ‘8-K’ for 8/14/02

On:  Wednesday, 8/14/02, at 3:27pm ET   ·   For:  8/14/02   ·   Accession #:  1010521-2-262   ·   File #:  1-15607

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Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         John Hancock Financial Services, Inc.                  7     22K 

Document Table of Contents

8-K
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
 SECURITIES EXCHANGE ACT OF 1934

 Date of Report: August 14, 2002
 (Date of Earliest Event Reported)

 JOHN HANCOCK FINANCIAL SERVICES, INC.
(Exact name of registrant as specified in charter)

 Commission File Number: 1-15607

DELAWARE                                  04-3483032
  (State or other jurisdiction of           (I.R.S. Employer Identification No.)
incorporation or organization)                                            

John Hancock Place
 Boston, Massachusetts 02117
(Address of principal executive offices)

(617) 572-6000
(Registrant's telephone number, including area code)

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ITEM 9.  REGULATION FD DISCLOSURE                                               

John Hancock Financial Services, Inc. ("JHFS") is furnishing herewith the       
Statements Under Oath of its Principal Executive Officer and its Principal      
Financial Officer regarding facts and circumstances relating to Exchange Act    
Filings as Exhibits 99.1 and 99.2 hereto, respectively, which are included      
herein. David F. D'Alessandro, Chairman and Chief Executive Officer of JHFS, and
Thomas E. Moloney, Senior Executive Vice President and Chief Financial Officer  
of JHFS, signed these statements, which are being filed with the Securities and 
Exchange Commission ("SEC") on August 14, 2002, pursuant to the SEC's Order No. 
4-460 (June 27, 2002).                                                          

JHFS is also furnishing herewith the two forms of Certification, signed by      
Messrs. D'Alessandro and Moloney, as required by Section 906 of the             
Sarbanes-Oxley Act of 2002 (18 U.S.C. Section 1350 et seq.) as Exhibits 99.3 and
99.4                                                                            

ITEM 7.  FINANCIAL STATEMENTS AND EXHIBITS                                      

The following exhibits are included herein:                                     

Exhibit 99.1 - Statement Under Oath of Principal Executive Officer Regarding    
Facts and Circumstances Relating to Exchange Act Filings.                       

Exhibit 99.2 - Statement Under Oath of Principal Financial Officer Regarding    
Facts and Circumstances Relating to Exchange Act Filings.                       

Exhibit 99.3 - Certification Pursuant To 18 U.S.C. Section 1350, As Adopted     
Pursuant To Section 906 Of The Sarbanes-Oxley Act Of 2002.                      

Exhibit 99.4 - Certification Pursuant To 18 U.S.C. Section 1350, As Adopted     
Pursuant To Section 906 Of The Sarbanes-Oxley Act Of 2002.                      

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SIGNATURES

         Pursuant to the requirements of the Securities Exchange Act of 1934, as
amended, the Registrant has duly caused this Report to be signed on its behalf  
by the undersigned hereunto duly authorized.                                    

                             JOHN HANCOCK FINANCIAL SERVICES, INC.

Date:  August 14, 2002              By:  /s/ Thomas E. Moloney                  
                                     -----------------------------------
                   Thomas E. Moloney
                                     Senior Executive Vice President and
                         Chief Financial Officer

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                                                                    Exhibit 99.1
                                                                    ------------

                                                          OMB Number:  3235-0569
                                                      Expires:  January 31, 2003

 Statement Under Oath Of Principal Executive Officer Regarding Facts And
Circumstances Relating To Exchange Act Filings

I, David F. D'Alessandro, Chairman of the Board and Chief Executive Officer of  
John Hancock Financial Services, Inc., state and attest that:                   

(1)      To the best of my knowledge, based upon a review of the covered reports
       of John Hancock Financial Services, Inc., and, except as corrected or
supplemented in a subsequent covered report:                  

     o no covered report contained an untrue statement of a material fact as
      of the end of the period covered by such report (or in the case of a
     report on Form 8-K or definitive proxy materials, as of the date on
which it was filed); and                                      

    o no covered report omitted to state a material fact necessary to make
     the statements in the covered report, in light of the circumstances
        under which they were made, not misleading as of the end of the period
   covered by such report (or in the case of a report on Form 8-K or
    definitive proxy materials, as of the date on which it was filed).

(2)      I have reviewed the contents of this statement with the Company's audit
committee.                                                    

(3)      In this statement under oath, each of the following, if filed on or    
before the date of this statement, is a "covered report":     

 o Annual Report on Form 10-K for the fiscal year ended December 31,
2001 of John Hancock Financial Services, Inc.;                

    o all reports on Form 10-Q, all reports on Form 8-K and all definitive
         proxy materials of John Hancock Financial Services, Inc. filed with the
        Commission subsequent to the filing of the Form 10-K identified above;
and                                                           

o any amendments to any of the foregoing.                         

/s/ David F. D'Alessandro                  Subscribed and sworn to              
---------------------------                before me this 14th day of           
Signature                                  August, 2002.                        
David F. D'Alessandro                      /s/  Joan R. Fontes                  
Chairman of the Board and                  -------------------                  
Chief Executive Officer                   Notary Public                       
                                           My Commission Expires:  June 21, 2007

August 14, 2002                                                                 

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                                                                    Exhibit 99.2
                                                                    ------------

                                                          OMB Number:  3235-0569
                                                      Expires:  January 31, 2003

 Statement Under Oath Of Principal Financial Officer Regarding Facts And
Circumstances Relating To Exchange Act Filings

I, Thomas E. Moloney, Senior Executive Vice President and Chief Financial       
Officer of John Hancock Financial Services, Inc., state and attest that:        

(1)      To the best of my knowledge, based upon a review of the covered reports
       of John Hancock Financial Services, Inc., and, except as corrected or
supplemented in a subsequent covered report:                  

     o no covered report contained an untrue statement of a material fact as
      of the end of the period covered by such report (or in the case of a
     report on Form 8-K or definitive proxy materials, as of the date on
which it was filed); and                                      

    o no covered report omitted to state a material fact necessary to make
     the statements in the covered report, in light of the circumstances
        under which they were made, not misleading as of the end of the period
   covered by such report (or in the case of a report on Form 8-K or
    definitive proxy materials, as of the date on which it was filed).

(2)      I have reviewed the contents of this statement with the Company's audit
committee.                                                    

(3)      In this statement under oath, each of the following, if filed on or    
before the date of this statement, is a "covered report":     

 o Annual Report on Form 10-K for the fiscal year ended December 31,
2001 of John Hancock Financial Services, Inc.;                

    o all reports on Form 10-Q, all reports on Form 8-K and all definitive
         proxy materials of John Hancock Financial Services, Inc. filed with the
        Commission subsequent to the filing of the Form 10-K identified above;
and                                                           

o any amendments to any of the foregoing.                         

/s/ Thomas E. Moloney                      Subscribed and sworn to              
---------------------------                before me this 14th day of           
Signature                                  August, 2002                         
Thomas E. Moloney                          /s/  Joan R. Fontes                  
Senior Executive Vice President and        --------------------------           
Chief Financial Officer                   Notary Public                       
                                           My Commission Expires:  July 21, 2007

August 14, 2002                                                                 

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                                                                    Exhibit 99.3
                                                                    ------------

 CERTIFICATION PURSUANT TO
18 U.S.C. SECTION 1350, AS
 ADOPTED PURSUANT TO SECTION 906
 OF THE SARBANES-OXLEY ACT OF 2002

       Pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the

Sarbanes-Oxley Act of 2002, the undersigned officer of John Hancock Financial   

Services, Inc. (the "Company"), hereby certifies, to his knowledge, that:       

       (1) the Company's quarterly report on Form 10-Q for the quarter ended

June 30, 2002, (the "Report") fully complies with the requirements of Section   

13(a) of the Securities Exchange Act of 1934; and                               

     (2) the information contained in the Report fairly presents, in all

material respects, the financial condition and results of operations of the     

Company as of and for the periods presented in the Report.                      

Dated:   August 13, 2002                  /s/  David F. D'Alessandro            
                              --------------------------
                                  Name:    David F. D'Alessandro
                                      Title:   Chairman of the Board and
                                             Chief Executive Officer

The foregoing certification is being furnished solely pursuant to 18 U.S.C.     
ss.1350 and is not being filed as part of the Report or as a separate disclosure
document.                                                                       

8-K
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                                                                    Exhibit 99.4
                                                                    ------------

 CERTIFICATION PURSUANT TO
18 U.S.C. SECTION 1350, AS
 ADOPTED PURSUANT TO SECTION 906
 OF THE SARBANES-OXLEY ACT OF 2002

       Pursuant to 18 U.S.C. ss. 1350, as adopted pursuant to ss. 906 of the

Sarbanes-Oxley Act of 2002, the undersigned officer of John Hancock Financial   

Services, Inc. (the "Company"), hereby certifies, to his knowledge, that:       

       (1) the Company's quarterly report on Form 10-Q for the quarter ended

June 30, 2002, (the "Report") fully complies with the requirements of Section   

13(a) of the Securities Exchange Act of 1934; and                               

     (2) the information contained in the Report fairly presents, in all

material respects, the financial condition and results of operations of the     

Company as of and for the periods presented in the Report.                      

Dated:   August 13, 2002            /s/ Thomas E. Moloney                       
                  --------------------------
                  Name:    Thomas E. Moloney
                                    Title:   Senior Executive Vice President and
                                 Chief Financial Officer

The foregoing certification is being furnished solely pursuant to 18 U.S.C.     
ss.1350 and is not being filed as part of the Report or as a separate disclosure
document.                                                                       

Dates Referenced Herein   and   Documents Incorporated by Reference

				Referenced-On Page
This ‘8-K’ Filing		Date		First		Last			Other Filings
		7/21/07		5
		6/21/07		4
		1/31/03		4		5			SC 13G,  SC 13G/A
Filed on / For Period End:		8/14/02		1		5			10-Q,  10-Q/A
		8/13/02		6		7			10-Q
		6/30/02		6		7			10-Q,  10-Q/A
		6/27/02		2
		12/31/01		4		5			10-K405
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