0000950142-14-002354.txt : 20141128
0000950142-14-002354.hdr.sgml : 20141127
20141128170157
ACCESSION NUMBER: 0000950142-14-002354
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: FALCONE PHILIP
CENTRAL INDEX KEY: 0001233569
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 141256142
MAIL ADDRESS:
STREET 1: 450 PARK AVENUE, 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARBINGER HOLDINGS, LLC
CENTRAL INDEX KEY: 0001456927
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 141256143
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS GP, LLC
CENTRAL INDEX KEY: 0001371518
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 141256144
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P.
CENTRAL INDEX KEY: 0001371517
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 141256145
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 NAME:
FORMER CONFORMED NAME: HARBINGER CAPITAL PARTNERS SITUATIONS FUND, L.P.
DATE OF NAME CHANGE: 20060803
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD.
CENTRAL INDEX KEY: 0001233563
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 141256147
BUSINESS ADDRESS:
STREET 1: C/O INTERNATIONAL FUND SVS. (IRELAND) LT
STREET 2: 78 SIR JOHN ROGERSON'S QUAY
CITY: DUBLIN 2
STATE: L2
ZIP: 00000
BUSINESS PHONE: 2125216972
MAIL ADDRESS:
STREET 1: C/O INTERNATIONAL FUND SVS. (IRELAND) LT
STREET 2: 78 SIR JOHN ROGERSON'S QUAY
CITY: DUBLIN 2
STATE: L2
ZIP: 00000
FORMER NAME:
FORMER CONFORMED NAME: HARBERT DISTRESSED INVESTMENT MASTER FUND LTD
DATE OF NAME CHANGE: 20030516
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARBINGER CAPITAL PARTNERS LLC
CENTRAL INDEX KEY: 0001457298
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 141256146
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
4
1
es1401313_4-hrg.xml
OWNERSHIP DOCUMENT
X0306
4
2014-11-25
0
0000109177
HARBINGER GROUP INC.
HRG
0001233563
HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD.
C/O INTERNATIONAL FUND SVS. (IRELAND) LT
78 SIR JOHN ROGERSON'S QUAY
DUBLIN 2
L2
00000
IRELAND
0
0
1
1
*See Remarks
0001457298
HARBINGER CAPITAL PARTNERS LLC
450 PARK AVENUE, 30TH FLOOR
NEW YORK
NY
10022
0
0
1
1
*See Remarks
0001371517
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P.
450 PARK AVENUE, 30TH FLOOR
NEW YORK
NY
10022
0
0
1
1
*See Remarks
0001371518
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS GP, LLC
450 PARK AVENUE, 30TH FLOOR
NEW YORK
NY
10022
0
0
1
1
*See Remarks
0001456927
HARBINGER HOLDINGS, LLC
450 PARK AVENUE, 30TH FLOOR
NEW YORK
NY
10022
0
0
1
1
*See Remarks
0001233569
FALCONE PHILIP
450 PARK AVENUE, 30TH FLOOR
NEW YORK
NY
10022
0
0
1
1
*See Remarks
Common Stock (par value $0.01 per share)
2014-11-25
4
S
0
3402318
12.9
D
30753730
D
Common Stock (par value $0.01 per share)
2014-11-25
4
S
0
1597682
12.9
D
3650057
D
On November 25, 2014, Harbinger Capital Partners Master Fund I, Ltd. (the "Master Fund") and Harbinger Capital Partners Special Situations Fund, L.P. (the "Special Situations Fund", and together with the Master Fund, the "HCP Persons") collectively sold an aggregate of 5,000,000 shares of common stock of the Issuer (the "Shares") at a price of $12.90 per Share to a third party. Following such sale, funds affiliated with the HCP Persons beneficially own an aggregate of 37,677,583 Shares, which does not give effect to the 3,000,000 Shares Mr. Falcone can acquire pursuant to a warrant agreement with the Issuer.
These Shares are owned directly by the Master Fund, which is a Reporting Person.
These Shares may be deemed to be indirectly beneficially owned by the following, each of whom is a Reporting Person: Harbinger Capital Partners LLC ("Harbinger LLC"), the investment manager of the Master Fund; Harbinger Holdings, LLC ("Harbinger Holdings"), the manager of Harbinger LLC; and Philip Falcone, the managing member of Harbinger Holdings and the portfolio manager of the Master Fund.
Each person listed in Footnote 3 disclaims beneficial ownership of the Shares except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
These Shares are owned directly by the Special Situations Fund, which is a Reporting Person.
These Shares may be deemed to be indirectly beneficially owned by the following, each of whom is a Reporting Person: Harbinger Capital Partners Special Situations GP, LLC ("HCPSS"), the general partner of the Special Situations Fund; Harbinger Holdings, the managing member of HCPSS; and Philip Falcone, the managing member of Harbinger Holdings and the portfolio manager of the Special Situations Fund.
Each Reporting Person listed in Footnote 6 disclaims beneficial ownership of the Shares except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
(+) The persons listed herein may be deemed to be members of a "group" for purposes of the Securities Exchange Act of 1934, as amended. While Mr. Falcone does not directly own any of the securities of the Issuer directly owned by the other reporting persons herein, Mr. Falcone may be deemed to be the beneficial owner of such securities. Securities of the Issuer directly owned by Mr. Falcone are reported in separate Form 4s filed by Mr. Falcone. Each person listed herein disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by such person. This report shall not be deemed an admission that such person is a member of a group or the beneficial owner of any securities not directly owned by such person.
Harbinger Capital Partners Master Fund I, Ltd. By: Harbinger Capital Partners LLC, By: Harbinger Holdings, LLC, Manager By: /s/ Philip Falcone
2014-11-28
Harbinger Capital Partners LLC By: Harbinger Holdings, LLC, Manager By: /s/ Philip Falcone
2014-11-28
Harbinger Capital Partners Special Situations Fund, L.P. By: Harbinger Capital Partners Special Situations GP, LLC By: Harbinger Holdings, LLC, Managing Member By: /s/ Philip Falcone
2014-11-28
Harbinger Capital Partners Special Situations GP, LLC By: Harbinger Holdings, LLC, Managing Member By: /s/ Philip Falcone
2014-11-28
Harbinger Holdings, LLC By: /s/ Philip Falcone
2014-11-28
/s/ Philip Falcone
2014-11-28