<SEC-DOCUMENT>0001133228-21-003637-index.html : 20210625 <SEC-HEADER>0001133228-21-003637.hdr.sgml : 20210625 <ACCEPTANCE-DATETIME>20210625161011 ACCESSION NUMBER: 0001133228-21-003637 CONFORMED SUBMISSION TYPE: N-2 PUBLIC DOCUMENT COUNT: 53 FILED AS OF DATE: 20210625 DATE AS OF CHANGE: 20210625 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JOHN HANCOCK FINANCIAL OPPORTUNITIES FUND CENTRAL INDEX KEY: 0000925683 IRS NUMBER: 043241844 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: N-2 SEC ACT: 1940 Act SEC FILE NUMBER: 811-08568 FILM NUMBER: 211047778 BUSINESS ADDRESS: STREET 1: C/O JOHN HANCOCK INVESTMENT MANAGEMENT STREET 2: 200 BERKELEY STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-663-3000 MAIL ADDRESS: STREET 1: C/O JOHN HANCOCK INVESTMENT MANAGEMENT STREET 2: 200 BERKELEY STREET CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: JOHN HANCOCK BANK & THRIFT OPPORTUNITY FUND DATE OF NAME CHANGE: 20110214 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN BANK & THRIFT OPPORTUNITY FUND DATE OF NAME CHANGE: 19940728 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN REGIONAL BANK & THRIFT FUND DATE OF NAME CHANGE: 19940620 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JOHN HANCOCK FINANCIAL OPPORTUNITIES FUND CENTRAL INDEX KEY: 0000925683 IRS NUMBER: 043241844 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: N-2 SEC ACT: 1933 Act SEC FILE NUMBER: 333-257411 FILM NUMBER: 211047777 BUSINESS ADDRESS: STREET 1: C/O JOHN HANCOCK INVESTMENT MANAGEMENT STREET 2: 200 BERKELEY STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-663-3000 MAIL ADDRESS: STREET 1: C/O JOHN HANCOCK INVESTMENT MANAGEMENT STREET 2: 200 BERKELEY STREET CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: JOHN HANCOCK BANK & THRIFT OPPORTUNITY FUND DATE OF NAME CHANGE: 20110214 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN BANK & THRIFT OPPORTUNITY FUND DATE OF NAME CHANGE: 19940728 FORMER COMPANY: FORMER CONFORMED NAME: HANCOCK JOHN REGIONAL BANK & THRIFT FUND DATE OF NAME CHANGE: 19940620 <IS-FILER-A-NEW-REGISTRANT>N <IS-FILER-A-WELL-KNOWN-SEASONED-ISSUER>Y <FILED-PURSUANT-TO-GENERAL-INSTRUCTION-A2>Y </SEC-HEADER> <DOCUMENT> <TYPE>N-2 <SEQUENCE>1 <FILENAME>jhfof-html3755_n2.htm <DESCRIPTION>JH FINANCIAL OPPORTUNITIES FUND_N-2 <TEXT> Document 1 - file: jhfof-html3755_n2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(A) <SEQUENCE>2 <FILENAME>jhfof-html3755_ex992a.htm <DESCRIPTION>AMENDED AND RESTATED DECLARATION OF TRUST DATED JANUARY 22, 2016 <TEXT> Document 2 - file: jhfof-html3755_ex992a.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(A)(1) <SEQUENCE>3 <FILENAME>jhfof-html3755_ex992a1.htm <DESCRIPTION>AMENDMENT DATED DECEMBER 13, 2018 TO THE AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST DATED JANUARY 22, 2016 <TEXT> Document 3 - file: jhfof-html3755_ex992a1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(B) <SEQUENCE>4 <FILENAME>jhfof-html3755_ex992b.htm <DESCRIPTION>AMENDMENT DATED MARCH 10, 2016 TO THE AMENDED AND RESTATED BY-LAWS DATED SEPTEMBER 27, 2013 <TEXT> Document 4 - file: jhfof-html3755_ex992b.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(B)(1) <SEQUENCE>5 <FILENAME>jhfof-html3755_ex992b1.htm <DESCRIPTION>AMENDMENT DATED MARCH 10, 2016 TO THE AMENDED AND RESTATED BY-LAWS DATED SEPTEMBER 27, 2013 <TEXT> Document 5 - file: jhfof-html3755_ex992b1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(E) <SEQUENCE>6 <FILENAME>jhfof-html3755_ex992e.htm <DESCRIPTION>.DIVIDEND REINVESTMENT PLAN DATED NOVEMBER 1, 2013 <TEXT> Document 6 - file: jhfof-html3755_ex992e.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(G)(1) <SEQUENCE>7 <FILENAME>jhfof-html3755_ex992g1.htm <DESCRIPTION>AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT DATED JUNE 30, 2020 BETWEEN THE FUND AND JOHN HANCOCK INVESTMENT MANAGEMENT LLC (THE ADVISOR) <TEXT> Document 7 - file: jhfof-html3755_ex992g1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(G)(2) <SEQUENCE>8 <FILENAME>jhfof-html3755_ex992g2.htm <DESCRIPTION>SUB-ADVISORY AGREEMENT DATED DECEMBER 31, 2005 WITH THE ADVISOR AND MANULIFE INVESTMENT MANAGEMENT (US) LLC <TEXT> Document 8 - file: jhfof-html3755_ex992g2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(G)(3) <SEQUENCE>9 <FILENAME>jhfof-html3755_ex992g3.htm <DESCRIPTION>SUB-ADVISORY AGREEMENT AMENDMENT DATED JANUARY 18, 2013 <TEXT> Document 9 - file: jhfof-html3755_ex992g3.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(H)(1) <SEQUENCE>10 <FILENAME>jhfof-html3755_ex992h1.htm <DESCRIPTION>FORM OF DISTRIBUTION AGREEMENT BETWEEN JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC (THE DISTRIBUTOR) AND THE FUND <TEXT> Document 10 - file: jhfof-html3755_ex992h1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(H)(2) <SEQUENCE>11 <FILENAME>jhfof-html3755_ex992h2.htm <DESCRIPTION>FORM OF DEALER AGREEMENT BETWEEN THE DISTRIBUTOR AND THE DEALER <TEXT> Document 11 - file: jhfof-html3755_ex992h2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(J) <SEQUENCE>12 <FILENAME>jhfof-html3755_ex992j.htm <DESCRIPTION>MASTER CUSTODIAN AGREEMENT DATED SEPTEMBER 10, 2008 BETWEEN THE FUND AND STATE STREET BANK AND TRUST COMPANY <TEXT> Document 12 - file: jhfof-html3755_ex992j.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(J)(1) <SEQUENCE>13 <FILENAME>jhfof-html3755_ex992j1.htm <DESCRIPTION>AMENDMENT DATED OCTOBER 1, 2015 TO THE MASTER CUSTODIAN AGREEMENT DATED SEPTEMBER 10, 2008 BETWEEN THE FUND AND STATE STREET BANK AND TRUST COMPANY <TEXT> Document 13 - file: jhfof-html3755_ex992j1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(1) <SEQUENCE>14 <FILENAME>jhfof-html3755_ex992k1.htm <DESCRIPTION>ADMINISTRATION AGREEMENT DATED AUGUST 15,1994 <TEXT> Document 14 - file: jhfof-html3755_ex992k1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(1)(A) <SEQUENCE>15 <FILENAME>jhfof-html3755_ex992k1a.htm <DESCRIPTION>FORM OF AMENDMENT TO THE ADMINISTRATION AGREEMENT <TEXT> Document 15 - file: jhfof-html3755_ex992k1a.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(1)(B) <SEQUENCE>16 <FILENAME>jhfof-html3755_ex992k1b.htm <DESCRIPTION>FORM OF EXPENSE LIMITATION AGREEMENT BW ADVISOR AND FUND ADMINISTRATION AGREEMENT <TEXT> Document 16 - file: jhfof-html3755_ex992k1b.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(2) <SEQUENCE>17 <FILENAME>jhfof-html3755_ex992k2.htm <DESCRIPTION>SERVICE AGREEMENT DATED JUNE 30, 2020 AMONG THE FUND, THE ADVISOR, AND THE FUNDS CHIEF COMPLIANCE OFFICER <TEXT> Document 17 - file: jhfof-html3755_ex992k2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3) <SEQUENCE>18 <FILENAME>jhfof-html3755_ex992k3.htm <DESCRIPTION>SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES DATED JUNE 1, 2002 WITH COMPUTERSHARE INC <TEXT> Document 18 - file: jhfof-html3755_ex992k3.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(A) <SEQUENCE>19 <FILENAME>jhfof-html3755_ex992k3a.htm <DESCRIPTION>AMENDMENT DATED JULY 1, 2007 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 19 - file: jhfof-html3755_ex992k3a.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(B) <SEQUENCE>20 <FILENAME>jhfof-html3755_ex992k3b.htm <DESCRIPTION>AMENDMENT DATED SEPTEMBER 25, 2007 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 20 - file: jhfof-html3755_ex992k3b.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(C) <SEQUENCE>21 <FILENAME>jhfof-html3755_ex992k3c.htm <DESCRIPTION>AMENDMENT DATED OCTOBER 10, 2007 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 21 - file: jhfof-html3755_ex992k3c.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(D) <SEQUENCE>22 <FILENAME>jhfof-html3755_ex992k3d.htm <DESCRIPTION>AMENDMENT DATED JULY 1, 2010 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 22 - file: jhfof-html3755_ex992k3d.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(E) <SEQUENCE>23 <FILENAME>jhfof-html3755_ex992k3e.htm <DESCRIPTION>AMENDMENT DATED OCTOBER 18, 2010 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 23 - file: jhfof-html3755_ex992k3e.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(F) <SEQUENCE>24 <FILENAME>jhfof-html3755_ex992k3f.htm <DESCRIPTION>AMENDMENT DATED APRIL 6, 2011 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 24 - file: jhfof-html3755_ex992k3f.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(G) <SEQUENCE>25 <FILENAME>jhfof-html3755_ex992k3g.htm <DESCRIPTION>AMENDMENT DATED MARCH 31, 2013 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 25 - file: jhfof-html3755_ex992k3g.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(H) <SEQUENCE>26 <FILENAME>jhfof-html3755_ex992k3h.htm <DESCRIPTION>AMENDMENT DATED JUNE 30, 2014 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 26 - file: jhfof-html3755_ex992k3h.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(I) <SEQUENCE>27 <FILENAME>jhfof-html3755_ex992k3i.htm <DESCRIPTION>AMENDMENT DATED JUNE 30, 2016 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 27 - file: jhfof-html3755_ex992k3i.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(3)(J) <SEQUENCE>28 <FILENAME>jhfof-html3755_ex992k3j.htm <DESCRIPTION>AMENDMENT DATED JULY 1, 2018 TO THE SERVICE AGREEMENT FOR TRANSFER AGENT SERVICES <TEXT> Document 28 - file: jhfof-html3755_ex992k3j.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(K)(4) <SEQUENCE>29 <FILENAME>jhfof-html3755_ex992k4.htm <DESCRIPTION>AGREEMENT TO WAIVE ADVISORY FEES AND REIMBURSE EXPENSES DATED JUNE 25, 2020 <TEXT> Document 29 - file: jhfof-html3755_ex992k4.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(L) <SEQUENCE>30 <FILENAME>jhfof-html3755_ex992l.htm <DESCRIPTION>LEGAL OPINION DATED JUNE 25, 2021 <TEXT> Document 30 - file: jhfof-html3755_ex992l.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(N) <SEQUENCE>31 <FILENAME>jhfof-html3755_ex992n.htm <DESCRIPTION>CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DATED JUNE 25, 2021 <TEXT> Document 31 - file: jhfof-html3755_ex992n.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(R)(1) <SEQUENCE>32 <FILENAME>jhfof-html3755_ex992r1.htm <DESCRIPTION>JOHN HANCOCK CODE OF ETHICS DATED JANUARY 1, 2008 (AS REVISED SEPTEMBER 17, 2020) FOR JOHN HANCOCK INVESTMENT MANAGEMENT LLC1 AND JOHN HANCOCK VARIABLE TRUST ADVISERS LLC (EACH, A JOHN HANCOCK ADVISER <TEXT> Document 32 - file: jhfof-html3755_ex992r1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(R)(2) <SEQUENCE>33 <FILENAME>jhfof-html3755_ex992r2.htm <DESCRIPTION>CODE OF ETHICS DATED JANUARY 20, 2020 FOR GLOBAL WEALTH AND ASSET MANAGEMENT AND GENERAL ACCOUNT INVESTMENTS A DIVISION OF MANULIFE INVESTMENT MANAGEMENT (US) LLC <TEXT> Document 33 - file: jhfof-html3755_ex992r2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(R)(3) <SEQUENCE>34 <FILENAME>jhfof-html3755_ex992r3.htm <DESCRIPTION>CODE OF ETHICS EFFECTIVE DECEMBER 6, 2005 AMENDED AND RESTATED JANUARY 1, 2020 FOR THE INDEPENDENT TRUSTEES OF THE JOHN HANCOCK FUNDS <TEXT> Document 34 - file: jhfof-html3755_ex992r3.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.(2)(S) <SEQUENCE>35 <FILENAME>jhfof-html3755_ex992s.htm <DESCRIPTION>POWER OF ATTORNEY DATED DECEMBER 10, 2020 <TEXT> Document 35 - file: jhfof-html3755_ex992s.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>37 <FILENAME>image_005.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 37 - file: image_005.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>38 <FILENAME>image_005a.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 38 - file: image_005a.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>39 <FILENAME>image_006.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 39 - file: image_006.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>40 <FILENAME>image_007.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 40 - file: image_007.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>41 <FILENAME>image_008.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 41 - file: image_008.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>42 <FILENAME>image_010.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 42 - file: image_010.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>43 <FILENAME>image_009.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 43 - file: image_009.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>44 <FILENAME>logop1.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 44 - file: logop1.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>45 <FILENAME>p101.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 45 - file: p101.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>46 <FILENAME>p106.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 46 - file: p106.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>47 <FILENAME>p109.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 47 - file: p109.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>48 <FILENAME>p116.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 48 - file: p116.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>49 <FILENAME>img003.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 49 - file: img003.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>50 <FILENAME>img004.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 50 - file: img004.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>51 <FILENAME>img005.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 51 - file: img005.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>52 <FILENAME>image_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 52 - file: image_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>53 <FILENAME>image_002.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 53 - file: image_002.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>54 <FILENAME>organizationalchart.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 54 - file: organizationalchart.jpg
</DOCUMENT> </SEC-DOCUMENT>