Filing Details
- Accession Number:
- 0001341004-19-000574
- Form Type:
- 13D Filing
- Publication Date:
- 2019-12-02 21:01:10
- Filed By:
- Fortress Investment Group
- Company:
- Spectrum Brands Holdings Inc. (NYSE:SPB)
- Filing Date:
- 2019-12-03
- SEC Url:
- 13D Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Fortress Credit Opportunities Advisors | 0 | 2,013,558 | 0 | 2,013,558 | 2,013,558 | 4.1% |
| Fortress Credit Opportunities MA Advisors | 0 | 563,320 | 0 | 563,320 | 563,320 | 1.2% |
| Fortress Credit Opportunities MA II Advisors | 0 | 329,284 | 0 | 329,284 | 329,284 | 0.7% |
| FCO MA LSS Advisors | 0 | 141,841 | 0 | 141,841 | 141,841 | 0.3% |
| Fortress Credit Opportunities MA Maple Leaf Advisors | 0 | 326,071 | 0 | 326,071 | 326,071 | 0.7% |
| Fortress Global Opportunities (Yen) Advisors | 0 | 100,391 | 0 | 100,391 | 100,391 | 0.2% |
| Drawbridge Special Opportunities Advisors | 0 | 380,937 | 0 | 380,937 | 380,937 | 0.8% |
| FIG | 0 | 3,855,401 | 0 | 3,855,401 | 3,855,401 | 7.9% |
| Fortress Operating Entity I | 0 | 3,855,401 | 0 | 3,855,401 | 3,855,401 | 7.9% |
| FIG Corp | 0 | 3,855,401 | 0 | 3,855,401 | 3,855,401 | 7.9% |
| Fortress Investment Group | 0 | 3,855,401 | 0 | 3,855,401 | 3,855,401 | 7.9% |
| Peter L. Briger, Jr | 0 | 3,855,401 | 0 | 3,855,401 | 3,855,401 | 7.9% |
| Constantine M. Dakolias | 0 | 3,855,401 | 0 | 3,855,401 | 3,855,401 | 7.9% |
Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 8)*
Spectrum Brands Holdings, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
84762L204
(CUSIP Number)
David N. Brooks
Secretary, Vice President and General Counsel
c/o Fortress Investment Group LLC
1345 Avenue of the Americas
New York, New York 10105
(212) 798-6100
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
November 22, 2019
(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), Rule
13d-1(f) or Rule 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.
| * | 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, as amended (“Act”) 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. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Credit Opportunities Advisors LLC | |||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | |||
| (3) | SEC Use Only: | |||
| (4) | Source of Funds (See Instructions): Not applicable | |||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | ||
| (8) | Shared Voting Power: 2,013,558 (1)(2) | |||
| (9) | Sole Dispositive Power: 0 | |||
| (10) | Shared Dispositive Power: 2,013,558 (1)(2) | |||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 2,013,558 (2) | |||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | |||
| (13) | Percent of Class Represented by Amount in Row (11): 4.1% | |||
| (14) | Type of Reporting Person (See Instructions): OO; IA | |||
| | | |||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. | |||
| | | |||
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. | |||
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Credit Opportunities MA Advisors LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 563,320 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 563,320 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 563,320 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 1.2% | ||
| (14) | Type of Reporting Person (See Instructions): OO; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Credit Opportunities MA II Advisors LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 329,284 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 329,284 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 329,284 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 0.7% | ||
| (14) | Type of Reporting Person (See Instructions): OO; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons FCO MA LSS Advisors LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 141,841 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 141,841 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 141,841 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 0.3% | ||
| (14) | Type of Reporting Person (See Instructions): OO; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Credit Opportunities MA Maple Leaf Advisors LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 326,071 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 326,071 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 326,071 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 0.7% | ||
| (14) | Type of Reporting Person (See Instructions): OO; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Global Opportunities (Yen) Advisors LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 100,391 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 100,391 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 100,391 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 0.2% | ||
| (14) | Type of Reporting Person (See Instructions): OO; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Drawbridge Special Opportunities Advisors LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 380,937 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 380,937 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 380,937 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 0.8% | ||
| (14) | Type of Reporting Person (See Instructions): OO; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its role as investment adviser to managed funds that hold shares of Common Stock. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons FIG LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☒ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 3,855,401 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 3,855,401 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 3,855,401 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 7.9% | ||
| (14) | Type of Reporting Person (See Instructions): OO | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely as owner of all the membership interests in the following investment advisors: Fortress Credit Opportunities Advisors LLC, Fortress Credit Opportunities MA Advisors LLC,
Fortress Credit Opportunities MA II Advisors LLC, FCO MA LSS Advisors LLC, Fortress Credit Opportunities MA Maple Leaf Advisors LLC, Fortress Global Opportunities (Yen) Advisors LLC and Drawbridge Special Opportunities Advisors LLC. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Operating Entity I LP | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☒ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 3,855,401 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 3,855,401 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 3,855,401 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 7.9% | ||
| (14) | Type of Reporting Person (See Instructions): PN; IA | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely as sole managing member of FIG LLC. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons FIG Corp. | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 3,855,401 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 3,855,401 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 3,855,401 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 7.9% | ||
| (14) | Type of Reporting Person (See Instructions): CO | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its capacity as the General Partner of Fortress Operating Entity I LP. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Fortress Investment Group LLC | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (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 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 3,855,401 (1)(2) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 3,855,401 (1)(2) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 3,855,401 (1)(2) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 7.9% | ||
| (14) | Type of Reporting Person (See Instructions): OO | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| | |
| (2) | Solely in its capacity as the holder of all the issued and outstanding shares of FIG Corp. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Peter L. Briger, Jr. | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (5) | Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e): ☐ | ||
| (6) | Citizenship or Place of Organization: United States | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 3,855,401 (1) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 3,855,401 (1) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 3,855,401 (1) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 7.9% | ||
| (14) | Type of Reporting Person (See Instructions): IN | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| CUSIP No. 84762L204 | | |
| (1) | Name of Reporting Persons Constantine M. Dakolias | ||
| (2) | Check the Appropriate Box if a Member of a Group (See Instructions): (a) ☐ (b) ☐ | ||
| (3) | SEC Use Only: | ||
| (4) | Source of Funds (See Instructions): Not applicable | ||
| (5) | Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e): ☐ | ||
| (6) | Citizenship or Place of Organization: United States | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | (7) | Sole Voting Power: 0 | |
| (8) | Shared Voting Power: 3,855,401 (1) | ||
| (9) | Sole Dispositive Power: 0 | ||
| (10) | Shared Dispositive Power: 3,855,401 (1) | ||
| (11) | Aggregate Amount Beneficially Owned by Each Reporting Person: 3,855,401 (1) | ||
| (12) | Check Box if the Aggregate Amount in Row (11) Excludes certain shares (See Instructions): ☐ | ||
| (13) | Percent of Class Represented by Amount in Row (11): 7.9% | ||
| (14) | Type of Reporting Person (See Instructions): IN | ||
| (1) | The Reporting Person disclaims beneficial ownership as described in Item 5. |
| ITEM 1. | SECURITY AND ISSUER. |
This Amendment No. 8 (this “Amendment”)
amends the Schedule 13D, filed on May 23, 2011 (File No. 005-19362), as amended by Amendment No. 1 filed on August 12, 2011, Amendment No. 2 filed on February 14, 2014, Amendment No. 3 filed on May 19, 2014, Amendment No. 4 filed on February 23,
2015, Amendment No. 5 filed on July 26, 2017, Amendment No. 6 filed on February 28, 2018 and Amendment No. 7 filed on July 17, 2018 (as amended from time to time, the “Amended
Schedule 13D”), and relates to shares of common stock, $0.01 par value per share (“Common Stock”), of Spectrum Brands Holdings, Inc., a Delaware corporation (formerly named HRG Group, Inc.) (the “Issuer”).
Disclosure Items set forth in the Original Schedule 13D, as modified by Amendment Nos. 1 through 7, shall remain in effect except to the extent expressly
amended hereby and (as modified herein) are incorporated into such initial Schedule 13D filing. Capitalized terms used in this Amendment and not otherwise defined shall have the meaning ascribed to them in the Amended Schedule 13D.
| ITEM 2. | IDENTITY AND BACKGROUND. |
The last paragraph of Item 2 is hereby amended and restated in its entirety by the following:
Set forth in Annex A attached hereto is a listing of the directors and executive officers of persons that may be
deemed to control the Reporting Persons (collectively, the “Covered Persons”), and the business address and present principal
occupation or employment of each of the Covered Persons, and is incorporated herein by reference. Unless otherwise specified in Annex A, each of the Covered Persons is a United States citizen.
| ITEM 4. | PURPOSE OF THE TRANSACTION. |
Item 4 is hereby supplemented by the addition of the following:
The information provided in Item 5 of this Amendment is incorporated herein by reference.
| ITEM 5. | INTEREST IN SECURITIES OF THE ISSUER. |
Items 5(a), 5(b), 5(c) and 5(e) are hereby supplemented by the addition of the following:
(a) and (b)
The information set forth in Items 7 through 11 and 13 of the cover pages of this Amendment are incorporated herein by reference. Such disclosure is based on 48,824,126 shares of
Common Stock outstanding as of November 12, 2019, as shown in the Issuer’s Form 10-K filed on November 15, 2019.
(c) CF Turul LLC (“CF Turul”) distributed 5,320,560 shares of Common Stock to its members, with
effect from February 1, 2019 (the “Distribution”). As a result of the Distribution, CF Turul ceased to beneficially own any shares of Common Stock as of February 1, 2019.
During the past 60 days, an aggregate 1,007,491 shares of Common Stock, of which 100,391 shares were held directly by a fund to which Fortress Global Opportunities (Yen) Advisors
LLC serves as investment advisor, and 907,100 shares were held directly by a fund to which Fortress Credit Opportunities Advisors LLC serves as investment advisor, were sold, all on the open market. The following table sets forth the foregoing
dispositions totaling 1,007,491 shares of Common Stock:
| Date of Transaction | Quantity of Common Stock | Price per Common Stock | |||||||
| 11/22/2019 | 100,391 | | $61.80 | ||||||
| 11/22/2019 | 907,100 | | $61.80 | ||||||
(e) Following the Distribution, each of Fortress Credit Opportunities
Advisors LLC, Fortress Credit Opportunities MA Advisors LLC, Fortress Credit Opportunities MA II Advisors LLC, FCO MA LSS Advisors LLC, Fortress Credit Opportunities MA Maple Leaf Advisors LLC, Fortress Global Opportunities (Yen) Advisors LLC and
Drawbridge Special Opportunities Advisors LLC ceased to be a member of any potential “group” with respect to the Common Stock and as of such time none of them was a beneficial owner of more than 5% of the outstanding shares of Common Stock.
SIGNATURES
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.
Date: December 2, 2019
FORTRESS CREDIT OPPORTUNITIES ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
FORTRESS CREDIT OPPORTUNITIES MA ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
FORTRESS CREDIT OPPORTUNITIES MA II ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
FCO MA LSS ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
FORTRESS CREDIT OPPORTUNITIES MA MAPLE LEAF ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
FORTRESS GLOBAL OPPORTUNITIES (YEN) ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
DRAWBRIDGE SPECIAL OPPORTUNITIES ADVISORS LLC
| By: | /s/ Constantine M. Dakolias | | |
| | Name: | Constantine M. Dakolias | |
| | Title: | President | |
FIG LLC
| By: | /s/ David N. Brooks | | |
| | Name: | David N. Brooks | |
| | Title: | Secretary | |
FORTRESS OPERATING ENTITY I LP
| By: | FIG Corp., as General Partner |
| By: | /s/ David N. Brooks | | |
| | Name: | David N. Brooks | |
| | Title: | Secretary | |
FIG CORP.
| By: | /s/ David N. Brooks | | |
| | Name: | David N. Brooks | |
| | Title: | Secretary | |
FORTRESS INVESTMENT GROUP LLC
| By: | /s/ David N. Brooks | | |
| | Name: | David N. Brooks | |
| | Title: | Secretary | |
| /s/ Peter L. Briger, Jr. | |
| Peter L. Briger, Jr. | |
| | |
| /s/ Constantine M. Dakolias | |
| Constantine M. Dakolias | |
ANNEX A
DIRECTORS AND EXECUTIVE OFFICERS OF THE INVESTMENT ADVISORS
The following entities are investment advisors to one or more of the Fortress-managed funds that own shares of common stock of Spectrum Brands
Holdings, Inc.: Fortress Credit Opportunities Advisors LLC, Fortress Credit Opportunities MA Advisors LLC, Fortress Credit Opportunities MA II Advisors LLC, FCO MA LSS Advisors LLC, Fortress Credit Opportunities MA Maple Leaf Advisors LLC, Fortress
Global Opportunities (Yen) Advisors LLC and Drawbridge Special Opportunities Advisors LLC (the “Investment Advisors”).
The name and principal occupation of each director and executive officer of the Investment Advisors is below. The principal business address of
each director and executive officer is c/o Fortress Investment Group LLC, 1345 Avenue of the Americas, 46th Floor, New York, NY 10105.
Fortress Credit Opportunities Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of Fortress Credit Opportunities Advisors LLC |
| Constantine M. Dakolias | | President of Fortress Credit Opportunities Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of Fortress Credit Opportunities Advisors LLC |
| William A. Covino | | Chief Financial Officer of Fortress Credit Opportunities Advisors LLC |
| David M. Prael | | Chief Administrative Officer of Fortress Credit Opportunities Advisors LLC |
| Jennifer Sorkin | | Treasurer of Fortress Credit Opportunities Advisors LLC |
| David N. Brooks | | Secretary of Fortress Credit Opportunities Advisors LLC |
| Alexander Gillette | | Assistant Secretary of Fortress Credit Opportunities Advisors LLC |
| Jason Meyer | | Authorized Signatory of Fortress Credit Opportunities Advisors LLC |
| Scott Silvers | | Authorized Signatory of Fortress Credit Opportunities Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of Fortress Credit Opportunities Advisors LLC |
Fortress Credit Opportunities MA Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of Fortress Credit Opportunities MA Advisors LLC |
| Constantine M. Dakolias | | President of Fortress Credit Opportunities MA Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of Fortress Credit Opportunities MA Advisors LLC |
| William A. Covino | | Chief Financial Officer of Fortress Credit Opportunities MA Advisors LLC |
| David M. Prael | | Chief Administrative Officer of Fortress Credit Opportunities MA Advisors LLC |
| Jennifer Sorkin | | Treasurer of Fortress Credit Opportunities MA Advisors LLC |
| David N. Brooks | | Secretary of Fortress Credit Opportunities MA Advisors LLC |
| Alexander Gillette | | Assistant Secretary of Fortress Credit Opportunities MA Advisors LLC |
| Jason Meyer | | Authorized Signatory of Fortress Credit Opportunities MA Advisors LLC |
| Scott Silvers | | Authorized Signatory of Fortress Credit Opportunities MA Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of Fortress Credit Opportunities MA Advisors LLC |
Fortress Credit Opportunities MA II Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of Fortress Credit Opportunities MA II Advisors LLC |
| Constantine M. Dakolias | | President of Fortress Credit Opportunities MA II Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of Fortress Credit Opportunities MA II Advisors LLC |
| William A. Covino | | Chief Financial Officer of Fortress Credit Opportunities MA II Advisors LLC |
| David M. Prael | | Chief Administrative Officer of Fortress Credit Opportunities MA II Advisors LLC |
| Jennifer Sorkin | | Treasurer of Fortress Credit Opportunities MA II Advisors LLC |
| David N. Brooks | | Secretary of Fortress Credit Opportunities MA II Advisors LLC |
| Alexander Gillette | | Assistant Secretary of Fortress Credit Opportunities MA II Advisors LLC |
| Jason Meyer | | Authorized Signatory of Fortress Credit Opportunities MA II Advisors LLC |
| Scott Silvers | | Authorized Signatory of Fortress Credit Opportunities MA II Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of Fortress Credit Opportunities MA II Advisors LLC |
FCO MA LSS Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of FCO MA LSS Advisors LLC |
| Constantine M. Dakolias | | President of FCO MA LSS Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of FCO MA LSS Advisors LLC |
| William A. Covino | | Chief Financial Officer of FCO MA LSS Advisors LLC |
| David M. Prael | | Chief Administrative Officer of FCO MA LSS Advisors LLC |
| Jennifer Sorkin | | Treasurer of FCO MA LSS Advisors LLC |
| David N. Brooks | | Secretary of FCO MA LSS Advisors LLC |
| Alexander Gillette | | Assistant Secretary of FCO MA LSS Advisors LLC |
| Jason Meyer | | Authorized Signatory of FCO MA LSS Advisors LLC |
| Scott Silvers | | Authorized Signatory of FCO MA LSS Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of FCO MA LSS Advisors LLC |
Fortress Credit Opportunities MA Maple Leaf Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Constantine M. Dakolias | | President of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| William A. Covino | | Chief Financial Officer of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| David M. Prael | | Chief Administrative Officer of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Jennifer Sorkin | | Treasurer of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| David N. Brooks | | Secretary of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Alexander Gillette | | Assistant Secretary of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Jason Meyer | | Authorized Signatory of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Scott Silvers | | Authorized Signatory of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of Fortress Credit Opportunities MA Maple Leaf Advisors LLC |
Fortress Global Opportunities (Yen) Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of Fortress Global Opportunities (Yen) Advisors LLC |
| Constantine M. Dakolias | | President of Fortress Global Opportunities (Yen) Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of Fortress Global Opportunities (Yen) Advisors LLC |
| William A. Covino | | Chief Financial Officer of Fortress Global Opportunities (Yen) Advisors LLC |
| David M. Prael | | Chief Administrative Officer of Fortress Global Opportunities (Yen) Advisors LLC |
| Jennifer Sorkin | | Treasurer of Fortress Global Opportunities (Yen) Advisors LLC |
| David N. Brooks | | Secretary of Fortress Global Opportunities (Yen) Advisors LLC |
| Alexander Gillette | | Assistant Secretary of Fortress Global Opportunities (Yen) Advisors LLC |
| Jason Meyer | | Authorized Signatory of Fortress Global Opportunities (Yen) Advisors LLC |
| Scott Silvers | | Authorized Signatory of Fortress Global Opportunities (Yen) Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of Fortress Global Opportunities (Yen) Advisors LLC |
Drawbridge Special Opportunities Advisors LLC
| Name | | Principal Occupation |
| Peter L. Briger, Jr. | | Chairman of Drawbridge Special Opportunities Advisors LLC |
| Constantine M. Dakolias | | President of Drawbridge Special Opportunities Advisors LLC |
| Marc K. Furstein | | Chief Operating Officer of Drawbridge Special Opportunities Advisors LLC |
| Avraham Dreyfuss | | Chief Financial Officer of Drawbridge Special Opportunities Advisors LLC |
| David M. Prael | | Chief Administrative Officer of Drawbridge Special Opportunities Advisors LLC |
| Jennifer Sorkin | | Treasurer of Drawbridge Special Opportunities Advisors LLC |
| David N. Brooks | | Secretary of Drawbridge Special Opportunities Advisors LLC |
| Alexander Gillette | | Assistant Secretary of Drawbridge Special Opportunities Advisors LLC |
| Jason Meyer | | Authorized Signatory of Drawbridge Special Opportunities Advisors LLC |
| Scott Silvers | | Authorized Signatory of Drawbridge Special Opportunities Advisors LLC |
| Daniel N. Bass | | Authorized Signatory of Drawbridge Special Opportunities Advisors LLC |
DIRECTORS AND EXECUTIVE OFFICERS OF FIG LLC
FIG LLC (“FIG LLC”) is the sole member of
each of the Investment Advisors. The name and principal occupation of each of the directors and executive officers of FIG LLC are listed below. The principal business address of each of the directors and executive officers of FIG LLC is c/o Fortress
Investment Group LLC, 1345 Avenue of the Americas, 46th Floor, New York, NY 10105.
| Name | | Principal Occupation |
| Wesley R. Edens | | Principal and Co-Chairman of the Board of Directors |
| Peter L. Briger Jr. | | Principal and Co-Chairman of the Board of Directors |
| Randal A. Nardone | | Chief Executive Officer, Principal and Director |
| David N. Brooks | | Secretary, Vice President and General Counsel |
| Daniel N. Bass | | Chief Financial Officer and Treasurer |
DIRECTORS AND EXECUTIVE OFFICERS OF FORTRESS OPERATING ENTITY I LP
Fortress Operating Entity I LP (“FOE I”) is the sole managing member of FIG LLC. The name and principal occupation
of each of the directors and executive officers are listed below. The principal business address of each of the directors and executive officers is c/o Fortress Investment Group LLC, 1345 Avenue of the Americas, 46th Floor, New York, NY 10105.
| Name | | Principal Occupation |
| FIG Corp. | | General Partner of Fortress Operating Entity I LP |
DIRECTORS AND EXECUTIVE OFFICERS OF FIG CORP.
FIG Corp. is the general partner of FOE I, which is the sole managing member of FIG LLC. The name and principal occupation
of each of the directors and executive officers of FIG Corp. are listed below. The principal business address of each of the directors and executive officers of FIG Corp. is c/o Fortress Investment Group LLC, 1345 Avenue of the Americas, 46th Floor,
New York, NY 10105.
| Name | | Principal Occupation |
| Wesley R. Edens | | Principal and Co-Chairman of the Board of Directors |
| Peter L. Briger Jr. | | Principal and Co-Chairman of the Board of Directors |
| Randal A. Nardone | | Chief Executive Officer, Principal and Director |
| David N. Brooks | | Secretary, Vice President and General Counsel |
| Daniel N. Bass | | Chief Financial Officer and Treasurer |
| | | |
DIRECTORS AND EXECUTIVE OFFICERS OF FORTRESS INVESTMENT GROUP LLC
The name and principal occupation of each of the directors and executive officers of Fortress Investment Group LLC (“Fortress”), the holder of all of the issued and outstanding shares of FIG Corp. (“FIG Corp.”), are listed below. Unless indicated otherwise below, the principal business address of each of the directors and executive officers of Fortress Investment Group LLC is 1345 Avenue of the Americas, 46th Floor, New
York, NY 10105.
| Name | | Principal Occupation |
| Wesley R. Edens | | Principal, Co-Chief Executive Officer and Class A Director |
| Peter L. Briger, Jr. | | Principal, Co-Chief Executive Officer and Class A Director |
| Randal A. Nardone | | Principal and Class A Director |
| Daniel Bass | | Chief Financial Officer and Treasurer |
| David N. Brooks | | Secretary, Vice President and General Counsel |
| Michael G. Rantz | | Class A Director |
| George W. Wellde, Jr. | | Class A Director |
| Rajeev Misra (citizen of the United Kingdom) | | Class B Director |
| Yoshimitsu Goto (citizen of Japan) | | Class B Director |
| Michael Morell | Class A Director and Security Director | |
| Marcelo Claure | Chairman of the Board; Class B Director | |
| Jane Dietze | Class A Director |
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