0000950142-14-001344.txt : 20140624
0000950142-14-001344.hdr.sgml : 20140624
20140613174027
ACCESSION NUMBER: 0000950142-14-001344
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140611
FILED AS OF DATE: 20140613
DATE AS OF CHANGE: 20140613
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Spectrum Brands Holdings, Inc.
CENTRAL INDEX KEY: 0001487730
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
IRS NUMBER: 272166630
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 3001 DEMING WAY
CITY: MIDDLETON
STATE: WI
ZIP: 53562
BUSINESS PHONE: 608-275-3340
MAIL ADDRESS:
STREET 1: P.O. BOX 620992
CITY: MIDDLETON
STATE: WI
ZIP: 53562-0992
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: 001-34757
FILM NUMBER: 14911056
MAIL ADDRESS:
STREET 1: 450 PARK AVENUE, 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HARBINGER GROUP INC.
CENTRAL INDEX KEY: 0000109177
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34757
FILM NUMBER: 14911057
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 NAME:
FORMER CONFORMED NAME: ZAPATA CORP
DATE OF NAME CHANGE: 19920703
FORMER NAME:
FORMER CONFORMED NAME: ZAPATA NORNESS INC
DATE OF NAME CHANGE: 19720314
FORMER NAME:
FORMER CONFORMED NAME: ZAPATA OFF SHORE CO
DATE OF NAME CHANGE: 19690115
4
1
es1400780_4-sbhi.xml
OWNERSHIP DOCUMENT
X0306
4
2014-06-11
0
0001487730
Spectrum Brands Holdings, Inc.
SPB
0000109177
HARBINGER GROUP INC.
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)
2014-06-11
4
P
0
50000
75.90
A
30943186
D
Represents purchase of 50,000 shares of common stock, par value $0.01 per share ("Shares"), by HGI Funding LLC ("HGIF"), a wholly owned subsidiary of Harbinger Group Inc. from David R. Lumley, on June 11, 2014, at a price of $75.90.
The Shares are owned by Harbinger Group Inc., which is the Reporting Person, or HGIF, a wholly owned subsidiary (together "HGI").
Mr. Philip Falcone is the Chief Executive Officer and Chairman of the Board of Directors of HGI and the portfolio manager of certain controlling persons of HGI. Mr. Falcone does not own any Shares directly; however, as a result of Mr. Falcone's position with HGI and his relationship with HGI's controlling persons, Mr. Falcone may be deemed to beneficially own Shares directly owned by HGI.
-The Reporting Persons may be deemed to be members of a "group" for purposes of the Securities Exchange Act of 1934, as amended. Each of the Reporting Persons disclaims beneficial ownership of the securities owned by the other reporting persons 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 such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. David M. Maura and Mr. Omar Asali serve on the board of directors of the Issuer. Mr. Maura is an Executive Vice President and a director of HGI. Mr. Asali is President and a director of HGI. As a result, the persons listed herein may be deemed directors of the Issuer by deputization.
Harbinger Group Inc. By: /s/ Thomas Williams, Executive Vice President and Chief Financial Officer(+)
2014-06-11
/s/ Philip Falcone
2014-06-11