0000950142-12-001408.txt : 20120618
0000950142-12-001408.hdr.sgml : 20120618
20120618194653
ACCESSION NUMBER: 0000950142-12-001408
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120614
FILED AS OF DATE: 20120618
DATE AS OF CHANGE: 20120618
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: 12913539
MAIL ADDRESS:
STREET 1: 450 PARK AVENUE, 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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: 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-906-8548
MAIL ADDRESS:
STREET 1: 450 PARK AVENUE
STREET 2: 27TH 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: 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: 12913540
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 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: 12913537
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 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: 12913538
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
es1200795_4-masterfund.xml
OWNERSHIP DOCUMENT
X0305
4
2012-06-14
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
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
Call Option (obligation to sell)
2012-06-14
4
S
0
0
D
2012-06-14
2014-06-14
Common Stock
0
D
On June 14, 2012, Harbinger Capital Partners Master Fund I, Ltd. (the "Master Fund") entered into an agreement pursuant to which the counterparty to the agreement was provided the right to purchase from the Master Fund an aggregate of up to $50 million in value of the Master Funds' shares of the Issuer's common stock (the "HGI Shares") and the securities of certain other issuers that it owns, which may be exercised at any time prior to June 14, 2014. If such counterparty decides to purchase the HGI Shares, it may do so at a price of $6.50 per HGI Share until June 14, 2013 and $7.00 per HGI Share until June 14, 2014.
The HGI Shares covered by the option are owned directly by the Master Fund, which is a Reporting Person.
The HGI Shares covered by the option 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 Reporting Person listed in Footnote 3 disclaims beneficial ownership of the HGI Shares subject to the option 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 such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
(+) Philip A. Falcone, Keith M. Hladek and Robin Roger serve on the board of directors of the Issuer. Mr. Falcone is Chief Investment Officer and Chief Executive Officer of Harbinger LLC, Mr. Hladek is Chief Financial Officer and Co-Chief Operating Officer of Harbinger LLC and Ms. Roger is a Managing Director, General Counsel, Co-Chief Operating Officer and Chief Compliance Officer of Harbinger LLC. As a result, the persons listed herein may be deemed directors of the Issuer by deputization.
Harbinger Capital Partners Master Fund I, Ltd.(+) By: Harbinger Capital Partners LLC, By: Harbinger Holdings, LLC, Manager By: /s/ Philip Falcone
2012-06-18
Harbinger Capital Partners LLC(+) By: Harbinger Holdings, LLC, Manager By: /s/ Philip Falcone
2012-06-18
Harbinger Holdings, LLC(+) By: /s/ Philip Falcone
2012-06-18
/s/ Philip Falcone(+)
2012-06-18