SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
---------------------------
SCHEDULE 13D
(RULE 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
(AMENDMENT NO. 6)
APPLICA INCORPORATED
_________________________________________
(Name of Issuer)
Common Stock, par value $0.01 per share
_________________________________________
(Title of Class of Securities)
03815A106
_________________________________________
(CUSIP Number)
William R. Lucas, Jr.
One Riverchase Parkway South
Birmingham, Alabama 35244
_________________________________________
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
August 15, 2006
_________________________________________
(Date of Event which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box. [_]
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 for other parties
to whom copies are to be sent.
___________________
(1) The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page. The information
required on the remainder of this cover page shall not be deemed to be
"filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1) NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Harbinger Capital Partners Master Fund I, Ltd.
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) [_]
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
0
BENEFICIALLY ----------------------------------------------------------------
8 SHARED VOTING POWER
OWNED BY
7,921,200
EACH ----------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON ----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
7,921,200
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,921,200
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
32.34%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Harbinger Capital Partners Offshore Manager, L.L.C.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(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) [_]
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY
8 SHARED VOTING POWER
OWNED BY
7,921,200
EACH ----------------------------------------------------------
9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON ----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
7,921,200
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,921,200
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
(_)
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
32.34%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
HMC Investors, L.L.C.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(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) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 7,921,200
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
0
PERSON ----------------------------------------------------------
10 SHARED DISPOSITIVE POWER
WITH
7,921,200
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,921,200
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
32.34%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1) NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Harbinger Capital Partners Special Situations Fund, L.P.
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------------
4) SOURCE OF FUNDS*
WC
--------------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) [_]
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 1,690,400
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 1,690,400
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,690,400
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.90%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Harbert Management Corporation
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(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) [_]
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Alabama
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 9,611,600
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 9,611,600
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,611,600
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
39.24%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Philip Falcone
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(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) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 9,611,600
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 9,611,600
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,611,600
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
39.24%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Raymond J. Harbert
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(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) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 9,611,600
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 9,611,600
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,611,600
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
39.24%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Michael D. Luce
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(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) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 9,611,600
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 9,611,600
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,611,600
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
39.24%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Harbinger Capital Partners Special Situations GP, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(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) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 1,690,400
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH
1,690,400
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,690,400
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.90%
--------------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
--------------------------------------------------------------------------------
1) NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
HMC - New York, Inc.
--------------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(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) [_]
--------------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 0
----------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 1,690,400
----------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 0
----------------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 1,690,400
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,690,400
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
[_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.90%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
CUSIP No. 03815A106
This Amendment No. 6 amends and supplements the Statement on Schedule 13D
filed on May 17, 2006, as amended June 6, 2006, June 21, 2006, August 3, 2006,
August 8, 2006 and August 11, 2006 (as amended, the "Schedule 13D") by Harbinger
Capital Partners Master Fund I, Ltd. (the "Master Fund"), Harbinger Capital
Partners Offshore Manager, L.L.C. ("Harbinger Management"), the investment
manager of the Master Fund, HMC Investors, L.L.C., its managing member ("HMC
Investors"), Harbinger Capital Partners Special Situations Fund, L.P. (the
"Special Fund"), Harbinger Capital Partners Special Situations GP, LLC, the
general partner of the Special Fund ("HCPSS"), HMC - New York, Inc., the
managing member of HCPSS ("HMCNY"), Harbert Management Corporation ("HMC"), the
managing member of HMC Investors and the parent of HMCNY, Philip Falcone, a
shareholder of HMC and the portfolio manager of the Master Fund and the Special
Fund, Raymond J. Harbert, a shareholder of HMC, and Michael D. Luce, a
shareholder of HMC (each of the Master Fund, Harbinger Management, HMC
Investors, HMC, Special Fund, HCPSS, HMCNY, Philip Falcone, Raymond J. Harbert
and Michael D. Luce may be referred to herein as a "Reporting Person" and
collectively may be referred to as "Reporting Persons") relating to the Common
Stock, par value $0.10 per share, of Applica Incorporated, a Florida
corporation. Captitalized terms used herin and not otherwise defined in this
Amendment No. 6 shall have the meanings set forth in the Schedule 13D.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
Item 3 of the Schedule 13D is hereby amended and restated as follows:
As of the date hereof the Master Fund may be deemed to beneficially own
7,921,200 Shares.
As of the date hereof Harbinger Management may be deemed to beneficially own
7,921,200 Shares.
As of the date hereof HMC Investors may be deemed to beneficially own 7,921,200
Shares.
As of the date hereof the Special Fund may be deemed to beneficially own
1,690,400 Shares.
As of the date hereof HCPSS may be deemed to beneficially own 1,690,400 Shares.
As of the date hereof HMCNY may be deemed to beneficially own 1,690,400 Shares.
As of the date hereof HMC may be deemed to beneficially own 9,611,600 Shares.
As of the date hereof Philip Falcone may be deemed to beneficially own
9,611,600 Shares.
As of the date hereof Raymond J. Harbert may be deemed to beneficially own
9,611,600 Shares.
As of the date hereof Michael D. Luce may be deemed to beneficially own
9,611,600 Shares.
No borrowed funds were used to purchase the Shares, other than any borrowed
funds used for working capital purposes in the ordinary course of business.
ITEM 4. PURPOSE OF THE TRANSACTION.
Item 4 of the Schedule 13D is amended to add the following information:
On August 14, 2006, the Master Fund sent a letter to the Issuer, a copy of which
is included as Exhibit E, demanding that it be allowed to inspect the Issuer's
shareholders list and certain other records.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 of the Schedule 13D is hereby amended and restated as follows:
(a, b) As of the date hereof, the Master Fund may be deemed to be the beneficial
owner of 7,921,200 Shares, constituting 32.34% of the Shares of the Issuer,
based upon 24,492,069 Shares outstanding as of August 1, 2006.
The Master Fund has the sole power to vote or direct the vote of 0 Shares;
has the shared power to vote or direct the vote of 7,921,200 Shares; has sole
power to dispose or direct the disposition of 0 Shares; and has shared power to
dispose or direct the disposition of 7,921,200 Shares.
(a, b) As of the date hereof, Harbinger Management may be deemed to be the
beneficial owner of 7,921,200 Shares, constituting 32.34% of the Shares of the
Issuer, based upon 24,492,069 Shares outstanding as of August 1, 2006.
Harbinger Management has the sole power to vote or direct the vote of 0
Shares; has the shared power to vote or direct the vote of 7,921,200 Shares; has
sole power to dispose or direct the disposition of 0 Shares; and has shared
power to dispose or direct the disposition of 7,921,200 Shares.
Harbinger Management specifically disclaims beneficial ownership in the
Shares reported herein except to the extent of its pecuniary interest therein.
(a, b) As of the date hereof, HMC Investors may be deemed to be the
beneficial owner of 7,921,200 Shares, constituting 32.34% of the Shares of the
Issuer, based upon 24,492,069 Shares outstanding as of August 1, 2006.
HMC Investors has the sole power to vote or direct the vote of 0 Shares;
has the shared power to vote or direct the vote of 7,921,200 Shares; has sole
power to dispose or direct the disposition of 0 Shares; and has shared power to
dispose or direct the disposition of 7,921,200 Shares.
HMC Investors specifically disclaims beneficial ownership in the Shares
reported herein except to the extent of its pecuniary interest therein.
(a, b) As of the date hereof, the Special Fund may be deemed to be the
beneficial owner of 1,690,400 Shares, constituting 6.90% of the Shares of the
Issuer, based upon 24,492,069 Shares outstanding as of August 1, 2006.
The Special Fund has the sole power to vote or direct the vote of
0 Shares; has the shared power to vote or direct the vote of 1,690,400
Shares; has sole power to dispose or direct the disposition of 0 Shares; and has
shared power to dispose or direct the disposition of 1,690,400 Shares.
The Special Fund specifically disclaims beneficial ownership in the
Shares reported herein except to the extent of its pecuniary interest therein.
(a, b) As of the date hereof, HCPSS may be deemed to be the beneficial
owner of 1,690,400 Shares, constituting 6.90% of the Shares of the Issuer,
based upon 24,492,069 Shares outstanding as of August 1, 2006.
HCPSS has the sole power to vote or direct the vote of 0 Shares; has the shared
power to vote or direct the vote of 1,690,400 Shares; has sole power to dispose
or direct the disposition of 0 Shares; and has shared power to dispose or direct
the disposition of 1,690,400 Shares.
HCPSS specifically disclaims beneficial ownership in the Shares reported
herein except to the extent of its pecuniary interest therein.
(a, b) As of the date hereof, HMCNY may be deemed to be the beneficial
owner of 1,690,400 Shares, constituting 6.90% of the Shares of the Issuer,
based upon 24,492,069 Shares outstanding as of August 1, 2006.
HMCNY has the sole power to vote or direct the vote of 0 Shares; has the
shared power to vote or direct the vote of 1,690,400 Shares; has sole power to
dispose or direct the disposition of 0 Shares; and has shared power to dispose
or direct the disposition of 1,690,400 Shares.
HMCNY specifically disclaims beneficial ownership in the Shares reported
herein except to the extent of its pecuniary interest therein.
(a, b) As of the date hereof, HMC may be deemed to be the beneficial owner
of 9,611,600 Shares, constituting 39.24% of the Shares of the Issuer, based upon
24,492,069 Shares outstanding as of August 1, 2006.
HMC as the sole power to vote or direct the vote of 0 Shares; has the
shared power to vote or direct the vote of 9,611,600 Shares; has sole power to
dispose or direct the disposition of 0 Shares; and has shared power to dispose
or direct the disposition of 9,611,600 Shares.
HMC specifically disclaims beneficial ownership in the Shares reported
herein except to the extent of its pecuniary interest therein.
(a, b) As of the date hereof, Philip Falcone may be deemed to be the
beneficial owner of 9,611,600 Shares, constituting 39.24% of the Shares of the
Issuer, based upon 24,492,069 Shares outstanding as of August 1, 2006.
Mr. Falcone has the sole power to vote or direct the vote of 0 Shares; has
the shared power to vote or direct the vote of 9,611,600 Shares; has sole power
to dispose or direct the disposition of 0 Shares; and has shared power to
dispose or direct the disposition of 9,611,600 Shares.
Mr. Falcone specifically disclaims beneficial ownership in the Shares
reported herein except to the extent of his pecuniary interest therein.
(a, b) As of the date hereof, Raymond J. Harbert may be deemed to be the
beneficial owner of 9,611,600 Shares, constituting 39.24% of the Shares of the
Issuer, based upon 24,492,069 Shares outstanding as of August 1, 2006.
Mr. Harbert has the sole power to vote or direct the vote of 0 Shares; has
the shared power to vote or direct the vote of 9,611,600 Shares; has sole power
to dispose or direct the disposition of 0 Shares; and has shared power to
dispose or direct the disposition of 9,611,600 Shares.
Mr. Harbert specifically disclaims beneficial ownership in the Shares
reported herein except to the extent of his pecuniary interest therein.
(a, b) As of the date hereof, Michael D. Luce may be deemed to be the
beneficial owner of 9,611,600 Shares, constituting 39.24% of the Shares of the
Issuer, based upon 24,492,069 Shares outstanding as of August 1, 2006.
Mr. Luce has the sole power to vote or direct the vote of 0 Shares; has
the shared power to vote or direct the vote of 9,611,600 Shares; has sole power
to dispose or direct the disposition of 0 Shares; and has shared power to
dispose or direct the disposition of 9,611,600 Shares.
Mr. Luce specifically disclaims beneficial ownership in the Shares
reported herein except to the extent of his pecuniary interest therein.
(c) The trading dates, number of Shares purchased and sold and price per
share for all transactions in the Shares since the previous amendment to
Schedule 13D by the Reporting Persons are set forth in Exhibit B.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 of the Schedule 13D is hereby amended to add the following:
Exhibit A: Agreement between the Reporting Persons to file jointly
Exhibit B: Schedule of Transactions in the Shares of the Issuer
Exhibit E: Letter, dated August 14, 2006, from the Master Fund to the Issuer.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Harbinger Capital Partners Master Fund I, Ltd.
By: Harbinger Capital Partners Offshore Manager, L.L.C.
By: HMC Investors, L.L.C., Managing Member
By: /s/ DAVID A. BOUTWELL
--------------------------
Harbinger Capital Partners Offshore Manager, L.L.C.
By: HMC Investors, L.L.C., Managing Member
By: /s/ DAVID A. BOUTWELL
--------------------------
HMC Investors, L.L.C.
By: /s/ DAVID A. BOUTWELL
--------------------------
Harbinger Capital Partners Special Situations Fund, L.P.
By: Harbinger Capital Partners Special Situations GP, LLC
By: HMC - New York, Inc.
By: /s/ DAVID A. BOUTWELL
--------------------------
Harbinger Capital Partners Special Situations GP, LLC
By: HMC - New York, Inc.
By:/s/ DAVID A. BOUTWELL
---------------------------
HMC - New York, Inc.
BY: /s/ DAVID A. BOUTWELL
---------------------------
Harbert Management Corporation
By: /s/ DAVID A. BOUTWELL
---------------------------
/s/ PHILIP FALCONE
------------------------------
Philip Falcone
------------------------------
/s/ RAYMOND J. HARBERT
------------------------------
Raymond J. Harbert
/s/ MICHAEL D. LUCE
------------------------------
Michael D. Luce
August 17, 2006
Attention: Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
Exhibit A
AGREEMENT
The undersigned agree that this Schedule 13D, Amendment No. 6, dated August 17,
2006 relating to the Common Stock, $0.10 par value of Applica Incorporated shall
be filed on behalf of the undersigned.
Harbinger Capital Partners Master Fund I, Ltd.
By: Harbinger Capital Partners Offshore Manager, L.L.C.
By: HMC Investors, L.L.C., Managing Member
By: /s/ DAVID A. BOUTWELL
--------------------------
Harbinger Capital Partners Offshore Manager, L.L.C.
By: HMC Investors, L.L.C., Managing Member
By: /s/ DAVID A. BOUTWELL
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HMC Investors, L.L.C.
By: /s/ DAVID A. BOUTWELL
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Harbinger Capital Partners Special Situations Fund, L.P.
By: Harbinger Capital Partners Special Situations GP, LLC
By: HMC - New York, Inc.
By: /s/ DAVID A. BOUTWELL
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Harbinger Capital Partners Special Situations GP, LLC
By: HMC - New York, Inc.
By:/s/ DAVID A. BOUTWELL
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HMC - New York, Inc.
BY: /s/ JOEL B. PIASSICK
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Harbert Management Corporation
By: /s/ JOEL B. PIASSICK
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/s/ PHILIP FALCONE
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Philip Falcone
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/s/ RAYMOND J. HARBERT
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Raymond J. Harbert
/s/ MICHAEL D. LUCE
--------------------------------
Michael D. Luce
August 17, 2006
Exhibit B
TRANSACTIONS BY HARBINGER CAPITAL PARTNERS SPECIAL SITUATIONS FUND, L.P.
TRANSACTIONS IN THE COMMON STOCK, $0.10 PAR VALUE
-------------------------------------------------
Date of Number of Shares
Transaction Purchase/(Sold) Price of Shares
----------- ----------------- ---------------
8/11/06 66,700 $4.3840
8/14/06 58,100 $4.3974
8/15/06 112,000 $4.5060
8/15/06 10,700 $4.4013
8/16/06 59,700 $4.4200
8/16/06 103,400 $4.50094
Exhibit E
Harbinger Capital Partners Master Fund I, Ltd.
c/o Harbinger Capital Partners Offshore Manager, L.L.C.
One Riverchase Parkway South
Birmingham, Alabama 35244
August 14, 2006
Via Fed Ex
Applica Incorporated
3633 Flamingo Road
Miramar, Florida 33027
Attention: Corporate Secretary
Re: Demand for Inspection of Records
Gentlemen:
The undersigned shareholder of record hereby makes demand that it be allowed to
inspect and copy the following records of Applica Incorporated: (i)
shareholders' lists as of May 10, 2006 and August 4, 2006 (the "Shareholders'
Lists"); (ii) any other records maintained by, or under the control of, the
Company with respect to the identity and states of residency of its shareholders
as of such dates; (iii) all information reviewed, relied upon, or otherwise
considered by Applica for purposes of making its representation and warranty in
Section 5.27 of that certain Agreement and Plan of Merger dated July 23, 2006 by
and among Applica, NACCO Industries, Inc. and others (the "Merger Agreement");
and (iv) all drafts of the Merger Agreement containing changes to Section 5.27
from the previous draft of such Agreement (collectively, the "Inspection
Records"). The inspection should take place at a reasonable time and place
designated in writing by an appropriate officer of Applica. The Inspection
Records should be made available to us on August 22, 2006. In lieu of making the
Inspection Records available for inspection you may elect to send our
representative a copy of the requested information on or before the foregoing
date.
This inspection is for the proper purposes of: (A) communicating with other
shareholders about (i) Applica's recent announcements relating to the merger of
Applica with a wholly-owned subsidiary of NACCO Industries, Inc. pursuant to the
Merger Agreement and whether such merger is in the best interests of the
shareholders, and/or (ii) the potential acquisition of their shares; and/or (B)
determining the potential application of Florida Statutes, Section 607.0902 (the
"Control Share Act") to certain of the shares of common stock of Applica
beneficially owned by the undersigned and certain related parties.
It is requested that, within three business days, the corporation provide a
written response to this demand, indicating the time and place scheduled for the
inspection or that the requested Inspection Records will be delivered by the
August 22, 2006 date. The written response should be sent to Donald "Rocky"
Thompson, II, and Arnold Jacobs, at the following addresses:
Donald "Rocky" Thompson, II
Proskauer Rose, LLP
2255 Glades Road, Suite 340 West
Boca Raton, Florida 33431
(561) 995-4721
and
Arnold Jacobs
Proskauer Rose, LLP
1585 Broadway
New York, New York 10036
(212) 969-3000
The inspection will be performed by an attorney or paralegal from the law firm
of Proskauer Rose, LLP, whom the undersigned shareholder appoints as its agent
for this purpose.
HARBINGER CAPITAL PARTNERS MASTER
FUND I, LTD.
By: Harbinger Capital Partners
Offshore Manager, LLC
By: /s/ Philip A. Falcone
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Philip A. Falcone, Senior Managing
Director