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SC 13D/A Filing
Spectrum Brands (SPB) SC 13D/AHarbinger Group Inc.
Filed: 27 Sep 13, 12:00am
CUSIP No. 41146A106 | SC 13D | Page 2 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Capital Partners Master Fund I, Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 60,968,036 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 60,968,036 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 60,968,036 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 42.8% (*) | |
14 | TYPE OF REPORTING PERSON CO |
CUSIP No. 41146A106 | SC 13D | Page 3 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Capital Partners LLC | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 60,968,036 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 60,968,036 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 60,968,036 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 42.8% (*) | |
14 | TYPE OF REPORTING PERSON CO |
CUSIP No. 41146A106 | SC 13D | Page 4 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Capital Partners Special Situations Fund, L.P. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 11,878,103 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 11,878,103 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,878,103 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3% (*) | |
14 | TYPE OF REPORTING PERSON PN |
CUSIP No. 41146A106 | SC 13D | Page 5 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Capital Partners Special Situations GP, LLC | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 11,878,103 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 11,878,103 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,878,103 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3% (*) | |
14 | TYPE OF REPORTING PERSON CO |
CUSIP No. 41146A106 | SC 13D | Page 6 of 16 |
1 | NAME OF REPORTING PERSON Global Opportunities Breakaway Ltd. | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS OO | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 7,613,851 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 7,613,851 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,613,851 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.3% (*) | |
14 | TYPE OF REPORTING PERSON CO |
CUSIP No. 41146A106 | SC 13D | Page 7 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Capital Partners II LP | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 7,613,851 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 7,613,851 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,613,851 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.3% (*) | |
14 | TYPE OF REPORTING PERSON PN |
CUSIP No. 41146A106 | SC 13D | Page 8 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Capital Partners II GP LLC | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 7,613,851 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 7,613,851 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,613,851 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.3% (*) | |
14 | TYPE OF REPORTING PERSON CO |
CUSIP No. 41146A106 | SC 13D | Page 9 of 16 |
1 | NAME OF REPORTING PERSON Harbinger Holdings, LLC | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 72,846,139 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 72,846,139 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 72,846,139 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 51.2% (*) | |
14 | TYPE OF REPORTING PERSON CO |
CUSIP No. 41146A106 | SC 13D | Page 10 of 16 |
1 | NAME OF REPORTING PERSON Philip Falcone | |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) o (b) x |
3 | SEC USE ONLY | |
4 | SOURCE OF FUNDS AF | |
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) | x |
6 | CITIZENSHIP OR PLACE OF ORGANIZATION United States of America |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 0 |
8 | SHARED VOTING POWER 80,459,990 | |
9 | SOLE DISPOSITIVE POWER 0 | |
10 | SHARED DISPOSITIVE POWER 80,459,990 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 80,459,990 | |
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES | o |
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 56.5% (*) | |
14 | TYPE OF REPORTING PERSON IN |
CUSIP No. 41146A106 | SC 13D | Page 11 of 16 |
CUSIP No. 41146A106 | SC 13D | Page 12 of 16 |
CUSIP No. 41146A106 | SC 13D | Page 13 of 16 |
CUSIP No. 41146A106 | SC 13D | Page 14 of 16 |
Exhibit A: | Joint Filing Agreement |
Exhibit B: | Transactions in the Shares |
CUSIP No. 41146A106 | SC 13D | Page 15 of 16 |
HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD. | |||
By: | Harbinger Capital Partners LLC | ||
By: | Harbinger Holdings, LLC, Manager | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS LLC | |||
By: | Harbinger Holdings, LLC, Manager | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. | |||
By: | Harbinger Capital Partners Special Situations GP, LLC | ||
By: | Harbinger Holdings, LLC, Managing Member | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS GP, LLC | |||
By: | Harbinger Holdings, LLC, Managing Member | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
CUSIP No. 41146A106 | SC 13D | Page 16 of 16 |
GLOBAL OPPORTUNITIES BREAKAWAY LTD. | |||
By: | Harbinger Capital Partners II LP | ||
By: | Harbinger Capital Partners II GP LLC, General Partner | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS II LP | |||
By: | Harbinger Capital Partners II GP LLC, General Partner | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS II GP LLC | |||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER HOLDINGS, LLC | |||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
/s/ Philip Falcone | |||
Philip Falcone | |||
HARBINGER CAPITAL PARTNERS MASTER FUND I, LTD. | |||
By: | Harbinger Capital Partners LLC | ||
By: | Harbinger Holdings, LLC, Manager | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS LLC | |||
By: | Harbinger Holdings, LLC, Manager | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P. | |||
By: | Harbinger Capital Partners Special Situations GP, LLC | ||
By: | Harbinger Holdings, LLC, Managing Member | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS GP, LLC | |||
By: | Harbinger Holdings, LLC, Managing Member | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
GLOBAL OPPORTUNITIES BREAKAWAY LTD. | |||
By: | Harbinger Capital Partners II LP | ||
By: | Harbinger Capital Partners II GP LLC, General Partner | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS II LP | |||
By: | Harbinger Capital Partners II GP LLC, General Partner | ||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER CAPITAL PARTNERS II GP LLC | |||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
HARBINGER HOLDINGS, LLC | |||
By: | /s/ Philip Falcone | ||
Name: Philip Falcone | |||
Title: Managing Member | |||
/s/ Philip Falcone | |||
Philip Falcone | |||
Date of Transaction | Price per Share* | Number of Shares Sold | |||
September 27, 2013 | $8.50 | 18,600,000 | |||
September 27, 2013 | $8.50 | 1,500,000 | |||
September 27, 2013 | $8.50 | 1,000,000 | |||
September 27, 2013 | $8.50 | 750,000 | |||
September 27, 2013 | $8.50 | 350,000 | |||
September 27, 2013 | $8.50 | 350,000 | |||
September 27, 2013 | $8.50 | 500,000 | |||
September 27, 2013 | $8.50 | 650,000 |