<SEC-DOCUMENT>0000950142-12-000078.txt : 20120112
<SEC-HEADER>0000950142-12-000078.hdr.sgml : 20120112
<ACCEPTANCE-DATETIME>20120112172024
ACCESSION NUMBER:		0000950142-12-000078
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20120109
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20120112
DATE AS OF CHANGE:		20120112

FILER:

	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

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-04219
		FILM NUMBER:		12524820

	BUSINESS ADDRESS:	
		STREET 1:		450 PARK AVENUE
		STREET 2:		27TH FLOOR
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10022
		BUSINESS PHONE:		347 840 8677

	MAIL ADDRESS:	
		STREET 1:		450 PARK AVENUE
		STREET 2:		27TH 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
</SEC-HEADER>
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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">On January 9, 2012, Mr. Omar M. Asali was appointed President of the registrant, Harbinger Group Inc. (the &#8220;Company&#8221;).&#160;&#160;&#160;Mr. Asali, age 41, was previously appointed Acting President of the registrant effective June 30, 2011. Mr. Asali has served as a director of the registrant since May, 2011.</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Mr.&#160;Asali is also a director of Zap.Com Corporation and a director and the Vice Chairman of Spectrum Brands Holdings, Inc.&#160;&#160;Prior to his appointment as the President of the registrant, Mr.&#160;Asali was a Managing Director and Head of Global Strategy for Harbinger Capital Partners LLC (&#8220;Harbinger Capital&#8221;), an affiliate of the Company. Prior to joining Harbinger Capital in 2009, Mr.&#160;Asali was the co-head of Goldman Sachs Hedge Fund&#160;Strategies (&#8220;Goldman Sachs HFS&#8221;) where he helped manage approximately $25 billion of capital allocated to external managers. Mr.&#160;Asali also served as co-chair of the Investment Committee at Goldman Sachs HFS. Before joining Goldman Sachs HFS in 2003, Mr.&#160;Asali worked in Goldman Sachs&#8217; Investment Banking Division, providing M&amp;A and strategic advisory services to clients in the High Technology Group.&#160;&#160;Mr.&#160;Asali previously worked at Capital Guidance, a boutique private equity firm. Mr.&#160;Asali began his career working for a public accounting firm. Mr.&#160;Asali received an M.B.A. from Columbia Business School and a B.S. in Accounting from Virginia Tech.&#160;&#160;None of the companies Mr.&#160;Asali worked with before joining Harbinger Capital is an affiliate of the Company.</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">On January 9, 2012, the registrant entered into an employment agreement with Mr. Asali as its President, effective as of October 1, 2011 (the &#8220;Effective Date&#8221;). The employment agreement will have an initial term of one year from the Effective Date. The employment agreement will automatically renew unless either party gives the other written notice of termination at least 90 days prior to the end of the then current term of the employment agreement.&#160;&#160;Mr. Asali will continue to provide certain services to the Harbinger Capital affiliated funds during a one year transition period.</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Mr.&#160;Asali&#8217;s annual base salary will initially be $500,000. Within 150 days following the Effective Date, Mr. Asali will be granted 350,000 shares of restricted stock or restricted stock units and nonqualified stock options to purchase 1,000,000 shares of the registrant&#8217;s common stock (collectively, the &#8220;Initial Equity Grant&#8221;). The restricted stock or restricted stock units will vest and&#160;&#160;the restrictions will lapse on the third anniversary of the Effective Date and the option awards will vest one-third per year on the first, second and third anniversaries of the Effective Date.&#160;&#160;Mr. Asali will also be eligible for an annual bonus comprised of a mix of cash and equity with a target of $2,500,000 (and such actual bonus may be lower or higher based on performance).</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">If during the term of the employment agreement, the registrant terminates Mr.&#160;Asali&#8217;s employment without &#8220;Cause&#8221; or if Mr. Asali terminates his employment for &#8220;Good Reason,&#8221; (including upon a Company initiated nonrenewal of the term so long as he provides services through the end of the then current term and separates thereafter) subject to receiving a signed separation agreement and general release of claims from&#160;&#160;Mr.&#160;Asali, the registrant shall pay&#160;&#160;or provide Mr. Asali with&#160;&#160;(i) his base salary for twelve months in continuing installments, (ii) the Initial Equity Grant shall vest on a pro-rata basis based on the length of time elapsed (calculated as if Mr. Asali worked through the end of the term), (iii) payment of any&#160;&#160;non-deferred portion of the annual bonus for the prior year which was earned but unpaid, (iv) payment of 50% of the unpaid deferred cash portion, if any and vesting of 50% of the unvested equity portion, if any, of annual bonuses awarded for years prior to the year of termination, (v) eligibility for an annual bonus for the year of termination determined in accordance with the employment agreement, provided that (A) the cash portion of such bonus shall be paid and the equity portion of such bonus shall be granted on the same terms and at the same time as such grants are made to other senior executives of the Company, (B) Mr. Asali shall only be entitled to 50% of any deferred cash component of such annual bonus with such payment to be made within 74 days following the end of the Company&#8217;s fiscal year and (C) only 50% of the equity portion of such annual bonus will be granted and such equity grant will be fully vested on the date of grant, and (vi) continued medical and dental benefits for a&#160;&#160;twelve (12) month period, subject to Mr. Asali&#8217;s payment for the cost of such benefits as if he remained an active employee.&#160;&#160;In addition, the registrant shall pay Mr. Asali any accrued but unpaid base salary and vacation time and any properly incurred but unreimbursed business expenses.</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Mr. Asali is also subject to certain non-competition restrictions for six (6) months post termination of employment and certain non-solicitation restrictions for eighteen (18) months post termination of employment, as well as perpetual confidentiality provisions. Mr. Asali is subject to a perpetual non-disparagement covenant and subject to Mr. Asali signing a release, the non-disparagement covenant will be mutual.</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 36pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">The description of the employment agreement set forth above is not complete. A copy of Mr.&#160;Asali&#8217;s employment agreement, dated January 9, 2012, will be filed with the Company&#8217;s Annual Report on Form 10-K/A for the fiscal year ending September&#160;30, 2011 and is hereby incorporated herein by reference.</font></div>

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<div style="LINE-HEIGHT: 1.25; TEXT-INDENT: 0pt; DISPLAY: block; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt" align="left"><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">In addition to the information disclosed above under Item 5.02, six persons employed by Harbinger Capital have signed employment agreements with the registrant and are employed by the registrant effective as of October 1, 2011 and are no longer employed by Harbinger Capital.&#160;&#160;These persons include David Maura (Chairman of the Board of Directors of Spectrum Brands </font><font style="DISPLAY: inline; FONT-FAMILY: Times New Roman; FONT-SIZE: 10pt">Holdings, Inc. and a member of the Board of Directors of the registrant),&#160;&#160;Carl Giesler, Phillip Gass and Tyler Kolarik who are joining the Company&#8217;s investment team, Corrine Glass, who will become Acting General Counsel of the registrant, and Tara Glenn, who will be focused on the Company&#8217;s Investor Relations.&#160;&#160;These six persons will continue to provide certain services to the Harbinger Capital affiliated funds during a one year transition period.</font></div>

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