0000950142-13-002374.txt : 20131203 0000950142-13-002374.hdr.sgml : 20131203 20131203210113 ACCESSION NUMBER: 0000950142-13-002374 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131129 FILED AS OF DATE: 20131203 DATE AS OF CHANGE: 20131203 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: 131255793 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 es1301307_4-maura.xml OWNERSHIP DOCUMENT X0306 4 2013-11-29 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 2013-11-29 4 F 0 61712 12 D 1077639 D Common Stock 2013-11-29 4 A 0 101898 0 A 1179537 D Common Stock 2013-11-29 4 F 0 52835 12 D 1126702 D Common Stock 2013-12-02 4 A 0 888891 0 A 2015593 D Employee Stock Option (right to buy) 11.76 2013-12-02 4 A 0 397773 0 A 2023-12-02 Common Stock 397773 397773 D The options with respect to 40,909 shares vested on the grant date, with respect to 40,909 shares vest on November 29, 2014, with respect to 157,977 shares vest on November 29, 2015 and with respect to 157,978 shares vest on November 29, 2016. /s/ David M. Maura 2013-12-03