FORM 4
OMB APPROVAL
[ ] Check this box if no longer ---------------------------------
subject to Section 16. Form 4 OMB NUMBER 3235-0287
or Form 5 obligations may EXPIRES DECEMBER 31, 2001
continue. See Instruction 1(b). ESTIMATED AVERAGE BURDEN
HOURS PER RESPONSE............0.5
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or Section
30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Harris, Charles E.
One Rockefeller Plaza, Suite 1430
New York, NY 10020
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2. Issuer Name and Ticker or Trading Symbol
Harris & Harris Group, Inc. (HHGP)
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3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
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4. Statement for Month/Year
September 2000
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5. If Amendment, Date of Original (Month/Year)
NA
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6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
[ ] Director [ ] 10% Owner
[ X ] Officer (give title below) [ ] Other (specify below)
Chairman and CEO
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7.Individual or Joint/Group Filing (Check Applicable Line)
[ X ] Form filed by One Reporting Person
[ ] Form filed by More than One Reporting Person
<TABLE>
<CAPTION>
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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<S> <C> <C> <C> <C> <C>
1. Title 2. Trans- 3. Trans- 4. Securities 5. Amount of 6. Owner-
of action action Acquired (A) or Securities ship Form:
Security) Date Code Disposed of (D) Benefically Direct (D)
(Instr. 3) (Month/ (Instr.8) (Instr. 3,4,& 5) Owned at or Indirect
Day/Year) ----------------------------- End of Month (I)
Code V Amount (A) or Price (Instr. 3 & 4) (Instr. 4)
(D)
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Common
Stock 9/6/00 G V 95,435 (D) $0 0 (I)
Common
Stock 783,419 (I)
Common
Stock 8,500 (D)
<C>
7. Nature of Indirect
Beneficial Ownership
(Instr. 4)
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(I) - By Susan T. and Charles E. Harris Foundation (a trust)
(I) - Susan T. Harris, Spouse
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</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
*If this form is filed by more than one reporting person, see Instruction
4(b)(v).
<TABLE>
<CAPTION>
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<S> <C> <C> <C> <C> <C> <C>
1. Title of 2. Conver- 3. Trans- 4. Trans- 5. Number 6. Date 7. Title
Derivative sion or action action of Deriv- Exercisable and Amount
Security Exercise Date Code ative Se- and Expir- of Under-
(Instr.3) Price of (Month/ (Instr. 8) curities ation Date lying Se-
Derivative Day/Year) Acquired (Month/Day/ curities
Security (A) or Year) (Instr.
Disposed 3 & 4)
of (D) ----------------------
(Instr. Date Expir- Title &
3, 4 & 5) Exer- ation Amt. of
------------------ cis- Date Shares
Code V (A) (D) able
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NOT APPLICABLE
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<C> <C> <C> <C>
8. Price of 9. Number of 10. Ownership Form 11. Nature of Indirect
Derivative Derivative of Derivative Beneficial Ownership
Security Securities Security: Direct (Instr. 4)
(Instr. 5) Beneficially (D) or Indirect
Owned at End (I) (Instr. 4)
of Month
(Instr. 4)
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NOT APPLICABLE
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</TABLE>
Explanation of Responses:
/s/Charles E. Harris September 12, 2000
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**Signature of Reporting Person Date
**Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB number.
