0000950142-14-000040.txt : 20140106 0000950142-14-000040.hdr.sgml : 20140106 20140106195305 ACCESSION NUMBER: 0000950142-14-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140102 FILED AS OF DATE: 20140106 DATE AS OF CHANGE: 20140106 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: 14511701 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 es1400123_4-maura.xml OWNERSHIP DOCUMENT X0306 4 2014-01-02 0 0000109177 HARBINGER GROUP INC. HRG 0001365833 Maura David M C/O HARBINGER GROUP INC. 450 PARK AVENUE, 30TH FLOOR NEW YORK NY 10022 1 1 0 0 Managing Director and EVP Common Stock 2014-01-02 4 M 0 2460 4.86 A 2018053 D Common Stock 2014-01-02 4 S 0 2460 12 D 2015593 D Employee Stock Option 4.86 2014-01-02 4 M 0 2460 0 D 2012-10-01 2022-02-14 Common Stock 2460 281165 D The transactions reported in this report were effected pursuant to a Rule 10b5-1 trading plan. /s/ David M. Maura 2014-01-06