-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, J0aPQsNICbIBOmlnPGH9B0srPe9QBltash7Wq0yjah10MEvV6rr1yvkAhAxaE+RP gyM0hamNiDu+Xb19ybMvKQ== 0000919574-09-016261.txt : 20091116 0000919574-09-016261.hdr.sgml : 20091116 20091113181453 ACCESSION NUMBER: 0000919574-09-016261 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. CENTRAL INDEX KEY: 0001371517 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12359 FILM NUMBER: 091183055 BUSINESS ADDRESS: STREET 1: 450 PARK AVENUE, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-339-5100 MAIL ADDRESS: STREET 1: 450 PARK AVENUE, 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: HARBINGER CAPITAL PARTNERS SITUATIONS FUND, L.P. DATE OF NAME CHANGE: 20060803 13F-HR 1 d1045604_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Harbinger Capital Partners Special Situations Fund, LP* Address: 450 Park Avenue, 30th Floor New York, New York 10022 13F File Number: 028-12359 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. *NOTE: CERTAIN OF THE SECURITIES (THE "SECURITIES") OF THE REPORTING PERSON WERE HELD IN AN ACCOUNT AT LEHMAN BROTHERS INTERNATIONAL (EUROPE) ("LBIE"). ON SEPTEMBER 15, 2008, LBIE WAS PLACED INTO ADMINISTRATION UNDER UNITED KINGDOM LAW AND FOUR PARTNERS OF PRICEWATERHOUSECOOPERS LLP WERE APPOINTED AS JOINT ADMINISTRATORS (THE "JOINT ADMINISTRATORS"). THE JOINT ADMINISTRATORS HAVE ADVISED THAT CERTAIN OF THE SECURITIES WERE REHYPOTHECATED. THE REPORTING PERSON DETERMINED IN OCTOBER 2009 THAT REHYPOTHECATED SECURITIES WILL NOT BE RECOVERABLE. THE JOINT ADMINISTRATORS HAVE PROPOSED A FRAMEWORK WHICH, IF APPROVED, WOULD ENTITLE CUSTOMERS TO A CLAIM FOR THE REHYPOTHECATED SECURITIES VALUED AS OF THE CLOSE OF THE MARKET ON SEPTEMBER 12, 2008 WHICH WOULD BE SETOFF AGAINST AMOUNTS OWED BY SUCH CUSTOMER TO LBIE. ACCORDINGLY, THE REPORTING PERSON HAS REDUCED HEREIN THE NUMBER OF SECURITIES HELD BY IT TO THE EXTENT SUCH SECURITIES WERE HELD AT LBIE AND WERE REHYPOTHECATED. THE REPORTING PERSON DOES NOT WAIVE HEREBY ANY ARGUMENTS THAT IT IS ENTITLED TO RECOVER SUCH SECURITIES AND EXPRESSLY RESERVES SUCH ARGUMENTS. Person Signing this Report on Behalf of Reporting Manager: By: Harbinger Capital Partners Special Situations GP, LLC By: Harbinger Holdings, LLC, Managing Member Name: Philip Falcone Title: Managing Member Phone: (212) 339-5888 Signature, Place, and Date of Signing /s/ Philip Falcone New York, New York November 16, 2009 - ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] Report Type: (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report). [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting managers(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 11 Form 13F Information Table Value Total: $529,832 (thousands) List of Other Included Managers: No. Form 13F File Number Name 1. 028-12357 Harbinger Capital Partners Special Situations GP, LLC 2. 028-13483 Harbinger Holdings, LLC FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8 TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DISCRETION MNGRS SOLE SHARED NONE - -------------- -------- ----- ------- ------- --- ---- ---------- ----- ---- ------ ---- ASHLAND INC NEW COM 044209104 3,242 75,000 SH SHARED-DEFINED 1,2 75,000 0 0 AUGUSTA RES CORP COM NEW 050912203 2,713 1,089,617 SH SHARED-DEFINED 1,2 1,089,617 0 0 CALPINE CORP COM NEW 131347304 217,224 18,856,266 SH SHARED-DEFINED 1,2 18,856,266 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 87,316 2,698,276 SH SHARED-DEFINED 1,2 2,698,276 0 0 CONSTELLATION ENERGY GROUP I COM 210371100 21,712 670,758 SH SHARED-DEFINED 1,2 670,758 0 0 LEAP WIRELESS INTL INC COM NEW 521863308 22,326 1,142,000 SH SHARED-DEFINED 1,2 1,142,000 0 0 MCDERMOTT INTL INC COM 580037109 62,151 2,459,479 SH SHARED-DEFINED 1,2 2,459,479 0 0 MIRANT CORP NEW COM 60467R100 1,643 100,000 SH SHARED-DEFINED 1,2 100,000 0 0 SOLUTIA INC COM NEW 834376501 61,759 5,333,272 SH SHARED-DEFINED 1,2 5,333,272 0 0 TERRESTAR CORP COM 881451108 26,661 11,642,368 SH SHARED-DEFINED 1,2 11,642,368 0 0 ZAPATA CORP COM PAR $ 989070602 23,084 3,316,687 SH SHARED-DEFINED 1,2 3,316,687 0 0
SK 26666 0002 1045604
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