0001209191-14-035160.txt : 20140519
0001209191-14-035160.hdr.sgml : 20140519
20140519170445
ACCESSION NUMBER: 0001209191-14-035160
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140515
FILED AS OF DATE: 20140519
DATE AS OF CHANGE: 20140519
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: Dakolias Constantine M
CENTRAL INDEX KEY: 0001521336
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855343
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fortress Investment Group LLC
CENTRAL INDEX KEY: 0001380393
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855345
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-798-6100
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
FORMER NAME:
FORMER CONFORMED NAME: Fortress Investment Group Holdings LLC
DATE OF NAME CHANGE: 20061107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FIG Corp.
CENTRAL INDEX KEY: 0001387345
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855346
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-798-6110
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fortress Operating Entity I LP
CENTRAL INDEX KEY: 0001387344
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855347
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-798-6110
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FIG LLC
CENTRAL INDEX KEY: 0001245521
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855348
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 46 FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-798-6100
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 46 FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
FORMER NAME:
FORMER CONFORMED NAME: FORTRESS INVESTMENT GROUP LLC
DATE OF NAME CHANGE: 20030621
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CF Turul LLC
CENTRAL INDEX KEY: 0001521339
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855350
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-479-1516
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Briger Peter L JR
CENTRAL INDEX KEY: 0001380193
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855344
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 46TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fortress Credit Opportunities Advisors LLC
CENTRAL INDEX KEY: 0001521338
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04219
FILM NUMBER: 14855349
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 212-479-1516
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10105
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-05-15
0
0000109177
HARBINGER GROUP INC.
HRG
0001521339
CF Turul LLC
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001521338
Fortress Credit Opportunities Advisors LLC
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001245521
FIG LLC
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001387344
Fortress Operating Entity I LP
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001387345
FIG Corp.
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001380393
Fortress Investment Group LLC
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001380193
Briger Peter L JR
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0001521336
Dakolias Constantine M
1345 AVENUE OF THE AMERICAS, 46TH FLOOR
NEW YORK
NY
10105
0
0
1
0
Common Stock, $0.01 par value
2014-05-15
4
C
0
32994740
A
32994740
D
Series A Part Conv Pref Stock par value $0.01 per share
2014-05-15
4
C
0
205000
0.00
D
2011-05-13
Common Stock, $0.01 par value
32994740
0
D
Pursuant to the terms of the Preferred Stock, 204,999 shares of Series A Participating Convertible Preferred Stock held by CF Turul LLC ("CF Turul") converted into Harbinger Group Inc. common stock ("Common Stock") on a 160.9507-to-1 basis. CF Turul retained one share of Series A Preferred Stock, which share is no longer convertible into Common Stock.
This Form 4 is filed on behalf of CF Turul, Fortress Credit Opportunities Advisors LLC ("FCOA"), FIG LLC, Fortress Investment Operating Entity I LP ("FOE I"), FIG Corp., Fortress Investment Group LLC, ("Fortress"), Peter L. Briger, Jr. ("Briger") and Constantine M. Dakolias ("Dakolias" and together with Briger, the "Committee Members"). Each of FCOA, FIG LLC, FOE I, FIG Corp., Fortress and the Committee Members may be deemed to be the indirect beneficial owner of the securities directly owned by CF Turul under Rule 16a 1(a)(1) promulgated under the Securities Exchange Act of 1934, as amended. These securities are directly owned by CF Turul. FCOA, FIG LLC, FOE I, FIG Corp., Fortress and the Committee Members may be deemed to have indirect beneficial ownership of these securities. However, pursuant to Rule 16a-1(a)(4) promulgated under the Exchange Act, each of FCOA, FIG LLC, FOE I, FIG Corp., Fortress and the Committee Members disclaims beneficial ownership of such securities.
The Preferred Stock had no expiration date.
/s/ CF Turul LLC, by Constantine M. Dakolias, its President
2014-05-19
/s/ FCOA, by Constantine M. Dakolias, its President
2014-05-19
/s/ FIG LLC, by David N. Brooks, its Secretary
2014-05-19
/s/ FOE I, by David N. Brooks, its Secretary, Vice President and General Counsel
2014-05-19
/s/ FIG Corp., by David N. Brooks, its Secretary, Vice President and General Counsel
2014-05-19
/s/ Fortress, by David N. Brooks, its Secretary, Vice President and General Counsel
2014-05-19
/s/ Peter L. Briger, Jr.
2014-05-19
/s/ Constantine M. Dakolias
2014-05-19