0000950142-14-000683.txt : 20140319 0000950142-14-000683.hdr.sgml : 20140319 20140319192810 ACCESSION NUMBER: 0000950142-14-000683 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140317 FILED AS OF DATE: 20140319 DATE AS OF CHANGE: 20140319 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: 14705187 MAIL ADDRESS: STREET 1: 450 PARK AVENUE, 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 es1400465_4-williams.xml OWNERSHIP DOCUMENT X0306 4 2014-03-17 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 2014-03-17 4 M 0 33831 4.81 A 508808 D Common Stock 2014-03-17 4 S 0 33831 12.98 D 474977 D Common Stock 2014-03-18 4 M 0 1169 4.81 A 476146 D Common Stock 2014-03-18 4 S 0 1169 13.00 D 474977 D Employee Stock Option 4.81 2014-03-17 4 M 0 33831 0 D 2014-03-05 2022-05-14 Common Stock 33831 1169 D Employee Stock Option 4.81 2014-03-18 4 M 0 1169 0 D 2014-03-05 2022-05-14 Common Stock 1169 0 D The transactions reported in this report were effected pursuant to a Rule 10b5-1 trading plan. The price shown in this Column is the weighted average purchase price of these Shares on the transaction date. The price range for the purchases was $12.79 to $13.15 per Share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Harbinger Group Inc. or a security holder of Harbinger Group Inc. full information regarding the number of Shares purchased at each separate price. The price shown in this Column is the weighted average purchase price of these Shares on the transaction date. The price range for the purchases was $12.92 to $13.13 per Share. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Harbinger Group Inc. or a security holder of Harbinger Group Inc. full information regarding the number of Shares purchased at each separate price. /s/ Thomas A. Williams 2014-03-19