0000950142-13-002359.txt : 20131202 0000950142-13-002359.hdr.sgml : 20131202 20131202211045 ACCESSION NUMBER: 0000950142-13-002359 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131127 FILED AS OF DATE: 20131202 DATE AS OF CHANGE: 20131202 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: Williams Thomas A. CENTRAL INDEX KEY: 0001413198 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04219 FILM NUMBER: 131253023 MAIL ADDRESS: STREET 1: 450 PARK AVENUE, 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 es1301304_4-williams.xml OWNERSHIP DOCUMENT X0306 4 2013-11-27 0 0000109177 HARBINGER GROUP INC. HRG 0001413198 Williams Thomas A. C/O HARBINGER GROUP INC. 450 PARK AVENUE, 30TH FLOOR NEW YORK NY 10022 0 1 0 0 EVP & CFO Common Stock 2013-11-27 4 M 0 35000 4.81 A 240866 D Common Stock 2013-11-27 4 S 0 35000 12.00 D 205866 D Employee Stock Option 4.81 2013-11-27 4 M 0 35000 0 D 2013-03-05 2022-05-14 Common Stock 35000 0 D The transactions reported in this report were effected pursuant to a Rule 10b5-1 trading plan. /s/ Thomas A. Williams 2013-12-02