0000950142-14-002359.txt : 20141128 0000950142-14-002359.hdr.sgml : 20141127 20141128170525 ACCESSION NUMBER: 0000950142-14-002359 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141125 FILED AS OF DATE: 20141128 DATE AS OF CHANGE: 20141128 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARBINGER GROUP INC. CENTRAL INDEX KEY: 0000109177 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 741339132 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 450 PARK AVENUE STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-906-8548 MAIL ADDRESS: STREET 1: 450 PARK AVENUE STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: ZAPATA CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ZAPATA NORNESS INC DATE OF NAME CHANGE: 19720314 FORMER COMPANY: FORMER CONFORMED NAME: ZAPATA OFF SHORE CO DATE OF NAME CHANGE: 19690115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maura David M CENTRAL INDEX KEY: 0001365833 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04219 FILM NUMBER: 141256157 MAIL ADDRESS: STREET 1: C/O HARBINGER CAPITAL PARTNERS LLC STREET 2: 450 PARK AVENUE, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 es1401288_4-maura.xml OWNERSHIP DOCUMENT X0306 4 2014-11-25 0 0000109177 HARBINGER GROUP INC. HRG 0001365833 Maura David M C/O HARBINGER GROUP INC. 450 PARK AVENUE, 29TH FLOOR NEW YORK NY 10022 1 1 0 0 Managing Director and EVP Common Stock 2014-11-25 4 A 0 377588 0 A 2264256 D Common Stock 2014-11-25 4 F 0 40525 13.36 D 2223731 D Employee Stock Option (Right to Buy) 13.36 2014-11-25 4 A 0 165848 0 A 2024-11-25 Common Stock 165848 165848 D Reflects the withholding of shares by the Issuer to satisfy tax obligations. 34,516 of these options have vested and are currently exercisable. The remaining options vest according to the following vesting schedule, subject to continued employment with Harbinger Group Inc. 34,516 options vest on November 29, 2015; 48,408 options vest on November 29, 2016; and 48,408 options vest on November 29, 2017. /s/ David M. Maura 2014-11-28