Harbinger Group Inc. -SEC Filings

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SEC Filings

DEF 14A

HRG GROUP, INC. filed this Form DEF 14A on 07/27/2016

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SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

The table below shows the number of shares of our Common Stock beneficially owned by:


•	each director as of July 18, 2016,


•	each of our named executive officers for Fiscal 2015 as of July 18, 2016,


•	each person known to us to beneficially own more than 5% of our outstanding Common Stock as of July 18, 2016 (the “5% stockholders”), and


•	all directors and executive officers as a group, each as of July 18, 2016.

Beneficial ownership is determined in accordance with the rules of the SEC. Determinations as to the identity of 5% stockholders, the number of shares of our Common Stock beneficially owned by 5% stockholders and former directors and officers, including shares of our Common Stock which may be acquired by them within 60 days, is based upon filings with the SEC as indicated in the footnotes to the table below. Except as otherwise indicated, we believe, based on the information furnished or otherwise available to us, that each person or entity named in the table has sole voting and investment power with respect to all shares of our Common Stock shown as beneficially owned by them, subject to applicable community property laws. As of July 18, 2016, there were 200,713,392 shares of Common Stock outstanding (including shares of restricted stock) and 3,265,944 shares issuable upon the exercise of outstanding options and warrants and the vesting of restricted stock units that are currently exercisable or become exercisable or vest, as applicable, within 60 days of July 18, 2016.

Included in the computation of the number of shares of our Common Stock outstanding and beneficially owned by a person and the percentage ownership of that person in the table below are shares of our Common Stock that are subject to options, warrants or restricted stock units held by that person that are currently exercisable or become exercisable, or vest, as applicable, within 60 days of July 18, 2016.These shares of our Common Stock are not, however, deemed outstanding for the purpose of computing the percentage ownership of any other person. Unless otherwise noted below, the address of each beneficial owner listed in the table is c/o HRG Group, Inc., 450 Park Avenue, 29th floor, New York, New York 10022.



Name and Address	Beneficial Ownership	Percent of Class
5% Stockholders as of July 18, 2016
Leucadia National Corporation (1)	46,633,479	23.23	%
CF Turul Group (2)	32,994,740	16.44	%
Leon G. Cooperman (3)	10,388,646	5.18	%
Our Directors and Fiscal 2015 Named Executive Officers, each as of July 18, 2016†
Omar M. Asali (4)	3,793,484	1.89	%
Eugene I. Davis	18,693	*
Philip A. Falcone (5) **	6,732,501	3.35	%
Curtis A. Glovier	—	*
Frank Ianna	22,259	*
Gerald Luterman	22,259	*
David M. Maura (6)	2,036,047	1.01	%
Michael Sena **	17,796	*
Joseph S. Steinberg	17,229	*
Andrew Whittaker	17,229	*
Thomas A. Williams (7) **	718,937	*
All current directors and executive officers as a group† (9 persons) (8)	5,927,200	2.95	%

† Mr. McKnight was appointed as a director of the Company on July 21, 2016 and accordingly was excluded from this table, which represents our directors, named executive officers and certain other beneficial owners as of July 18, 2016.

* Indicates less than 1% of our outstanding Common Stock.

** As disclosed in greater detail herein, Mr. Falcone’s and Mr. Sena’s employment with the Company was terminated during Fiscal 2015 and Mr. Williams’ employment with the Company was terminated in Fiscal 2016.

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