-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DnKr34fmHyMS7PqFdBHz/95I4Ekctqb1kED48VDiAhvhYq3yo5JTMMJOPmhIH8S4 wZciOLbTs+V2FeQHTH9WSQ== 0000950142-07-000228.txt : 20070125 0000950142-07-000228.hdr.sgml : 20070125 20070125165053 ACCESSION NUMBER: 0000950142-07-000228 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070123 FILED AS OF DATE: 20070125 DATE AS OF CHANGE: 20070125 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPLICA INC CENTRAL INDEX KEY: 0000217084 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC HOUSEWARES & FANS [3634] IRS NUMBER: 591028301 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5980 MIAMI LAKES DR CITY: MIAMI LAKES STATE: FL ZIP: 33014 BUSINESS PHONE: 3053622611 MAIL ADDRESS: STREET 1: 5980 MIAMI LAKES DRIVE CITY: MIAMI LAKES STATE: FL ZIP: 33014 FORMER COMPANY: FORMER CONFORMED NAME: WINDMERE DURABLE HOLDINGS INC DATE OF NAME CHANGE: 19970224 FORMER COMPANY: FORMER CONFORMED NAME: WINDMERE CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: SAVE WAY INDUSTRIES INC DATE OF NAME CHANGE: 19830815 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUCE MICHAEL D CENTRAL INDEX KEY: 0001233573 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10177 FILM NUMBER: 07553559 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 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: 001-10177 FILM NUMBER: 07553560 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: 555 MADISON AVE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HMC INVESTORS, L.L.C. CENTRAL INDEX KEY: 0001233566 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10177 FILM NUMBER: 07553561 BUSINESS ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 FORMER NAME: FORMER CONFORMED NAME: HMC INVESTORS LLC DATE OF NAME CHANGE: 20030516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT MANAGEMENT CORP CENTRAL INDEX KEY: 0001259933 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10177 FILM NUMBER: 07553563 BUSINESS ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 205-987-5500 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 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: 001-10177 FILM NUMBER: 07553564 BUSINESS ADDRESS: STREET 1: C/O INTERNATIONAL FUND SERVICES STREET 2: THIRD FL BISHOP SQUARE REDMONDS HILL CITY: DUBLIN IRELAND STATE: L2 ZIP: 00000 BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: C/O INTERNATIONAL FUND SERVICES STREET 2: THIRD FL BISHOP SQUARE REDMONDS HILL CITY: DUBLIN IRELAND 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 CAPITAL PARTNERS OFFSHORE MANAGER, L.L.C. CENTRAL INDEX KEY: 0001224055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10177 FILM NUMBER: 07553562 BUSINESS ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 BUSINESS PHONE: 2059875500 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 FORMER NAME: FORMER CONFORMED NAME: HMC DISTRESSED INVESTMENT OFFSHORE MANAGER LLC DATE OF NAME CHANGE: 20030321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBERT RAYMOND J CENTRAL INDEX KEY: 0001233571 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10177 FILM NUMBER: 07553565 BUSINESS ADDRESS: BUSINESS PHONE: 2125216972 MAIL ADDRESS: STREET 1: ONE RIVERCHASE PARKWAY SOUTH CITY: BIRMINGHAM STATE: AL ZIP: 35244 4 1 form4_applica012307ex.xml X0202 4 2007-01-23 1 0000217084 APPLICA INC APN 0001233563 HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD. C/O INTERNATIONAL FUND SERVICES THIRD FL BISHOP SQUARE REDMONDS HILL DUBLIN IRELAND L2 00000 IRELAND 0 0 1 0 0001259933 HARBERT MANAGEMENT CORP ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001224055 HARBINGER CAPITAL PARTNERS OFFSHORE MANAGER, L.L.C. ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233566 HMC INVESTORS, L.L.C. ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233569 FALCONE PHILIP 555 MADISON AVE 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001233571 HARBERT RAYMOND J ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 0001233573 LUCE MICHAEL D ONE RIVERCHASE PARKWAY SOUTH BIRMINGHAM AL 35244 0 0 1 0 Common Stock 2007-01-23 4 P 0 15220632 8.25 A 0 D All of Applica Incorporated's ("APPLICA") outstanding common stock and options were cancelled in a merger of a wholly-owned subsidiary of APN Holding Company, Inc. into Applica on January 23, 2007 (the "MERGER"). APN Holding Company, Inc. is wholly owned by Harbinger Capital Partners Master Fund I, Ltd. (the "MASTER FUND") and Harbinger Capital Partners Special Situations Fund, L.P. ("SPECIAL SITUATIONS FUND"). Prior to the Merger, shares of Applica common stock were owned directly by the Master Fund and the Special Situations Fund. The securities directly owned by the Master Fund may be deemed to have been indirectly beneficially owned by Harbinger Capital Partners Offshore Manager, L.L.C. ("HARBINGER MANAGEMENT"), the investment manager of the Master Fund, HMC Investors, L.L.C., the managing member of Harbinger Management ("HMC INVESTORS"), and Harbert Management Corporation ("HMC"), the managing member of HMC Investors. The securities directly owned by the Special Situations Fund may be deemed to have been indirectly beneficially owned by Harbinger Capital Partners Special Situations GP, LLC ("SS-GP"), the general partner of the Special Situations Fund, HMC - New York, Inc. ("HMC-NY"), the managing member of SS-GP, and HMC, the parent of HMC-NY. Philip Falcone is the portfolio manager of the Master Fund and the Special Situations Fund and is a shareholder of HMC. Raymond J. Harbert and Michael D. Luce are shareholders of HMC. As a result, each of Messrs. Falcone, Harbert and Luce may also be deemed to have indirectly beneficially owned the securities owned directly by the Master Fund and the Special Situations Fund. Each Reporting Person identified as a possible indirect beneficial owner herein disclaims beneficial ownership of the reported securities 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 or was the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Harbinger Capital Partners Master Fund I, Ltd.: /s/ William R. Lucas, Jr., By Harbinger Capital Partners Offshore Manager, L.L.C., Investment Manager, By HMC Investors, L.L.C., Managing Member of Harbinger Management, By William R. Lucas, Jr., Exec VP 2007-01-25 Harbert Management Corporation: /s/ William R. Lucas, Jr., Executive Vice President & General Counsel 2007-01-25 Harbinger Capital Partners Offshore Manager, L.L.C.: /s/ William R. Lucas, Jr., By HMC Investors, L.L.C., Managing Member, By William R. Lucas, Jr., Executive Vice President 2007-01-25 HMC Investors, L.L.C.: /s/ William R. Lucas, Jr., Executive Vice President 2007-01-25 /s/ Philip A. Falcone 2007-01-25 /s/ Raymond J. Harbert 2007-01-25 /s/ Michael D. Luce 2007-01-25 -----END PRIVACY-ENHANCED MESSAGE-----