SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 13)
HARRIS & HARRIS GROUP, INC.
-----------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK, par value $ .01 per share
-----------------------------------------------------------------------------
(Title of Class of Securities)
413833104
-----------------------------------------------------------------------------
(CUSIP Number)
Rachel M. Pernia
Harris & Harris Group, Inc.
One Rockefeller Plaza, Suite 1430
New York, New York 10020
(212) 332-3600
-----------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 5, 2000
-----------------------------------------------------------------------------
(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 which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(b)(3) or (4), check the
following box. / /
Check the following box if a fee is being paid with the statement. / /
Documents Incorporated by Reference: Schedule 13D dated April 13, 1984, as
amended by Amendment No. 1 dated January 3, 1986, Amendment No. 2 dated
January 10, 1986, Amendment No. 3 dated March 31, 1986, Amendment No. 4
dated May 9, 1986, Amendment No. 5 dated December 19, 1991, Amendment No. 6
dated November 17, 1993, Amendment No. 7 dated December 23, 1993, Amendment
No. 8 filed October 12, 1997, Amendment No. 9 dated December 31, 1997,
Amendment No. 10 dated December 7, 1999, Amendment No. 11 dated May 2, 2000
and Amendment No. 12 dated May 26, 2000 (the "Original 13D").
-----------------------------------------------------------------------------
CUSIP NO. - 413833104
-----------------------------------------------------------------------------
(1) Name of reporting person Charles E. Harris
S.S. or IRS No. of above person ###-##-####
-----------------------------------------------------------------------------
(2) Check the appropriate box if a member of a group (a) __________
(b) __________
-----------------------------------------------------------------------------
(3) SEC use only
-----------------------------------------------------------------------------
(4) Source of funds
-----------------------------------------------------------------------------
(5) Check 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 8,500
(8) Shared voting power 95,435 (1)
(9) Sole dispositive power 8,500
(10) Shared dispositive power 95,435 (1)
-----------------------------------------------------------------------------
(11) Aggregate amount beneficially
owned by each reporting person 103,935 (1)
-----------------------------------------------------------------------------
(12) Check if the aggregate amount in
Row (11) excludes certain shares X
-----------------------------------------------------------------------------
(13) Percent of class represented
by amount in Row (11) 1.12%
-----------------------------------------------------------------------------
(14) Type of reporting person IND
-----------------------------------------------------------------------------
(1) Includes 95,435 shares owned by the Susan T. and Charles E. Harris
Foundation in which Susan T. and Charles E. Harris are named
trustees. Voting and dispositive power are vested with the trustees.
-----------------------------------------------------------------------------
CUSIP NO. - 413833104
-----------------------------------------------------------------------------
(1) Name of reporting person Susan T. Harris
S.S. or IRS No. of above person ###-##-####
-----------------------------------------------------------------------------
(2) Check the appropriate box if a member of a group (a) ________
(b) ________
-----------------------------------------------------------------------------
(3) SEC use only
-----------------------------------------------------------------------------
(4) Source of funds
-----------------------------------------------------------------------------
(5) Check 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 783,419
(8) Shared voting power 95,435 (1)
(9) Sole dispositive power 783,419
(10) Shared dispositive power 95,435 (1)
-----------------------------------------------------------------------------
(11) Aggregate amount beneficially
owned by each reporting person 878,854(1)
-----------------------------------------------------------------------------
(12) Check if the aggregate amount in
Row (11) excludes certain shares X
-----------------------------------------------------------------------------
(13) Percent of class represented
by amount in Row (11) 9.51%
-----------------------------------------------------------------------------
(14) Type of reporting person IND
-----------------------------------------------------------------------------
(1) Includes 95,435 shares owned by the Susan T. and Charles E. Harris
Foundation in which Susan T. and Charles E. Harris are named
trustees. Voting and dispositive power are vested with the trustees.
Page 3 of 7
Item 1. Security and Issuer.
The class of equity securities to which this statement relates is the
common stock, par value $.01 per share (the "Common Stock"), of Harris &
Harris Group, Inc., a New York Corporation (the "Company"). The address of
the principal executive offices of the Company is One Rockefeller Plaza,
Suite 1430, Rockefeller Center, New York, New York 10020.
Item 2. Identity and Background.
(a) The reporting persons are Charles E. Harris (Mr. Harris) and
Susan T. Harris (Mrs. Harris).
(b) Mr. Harris's business address is Harris & Harris Group, Inc. One
Rockefeller Plaza, Suite 1430, New York, New York 10020. Mrs. Harris's
business address is Harris & Harris Enterprises, Inc., One Rockefeller
Plaza, Suite 1430, New York NY 10020.
(c) Mr. Harris is Chairman and Chief Executive Officer of the
Company. Mrs. Harris is a financial public relations consultant and is
employed by Harris & Harris Enterprises, Inc. a fully-owned subsidiary of
Harris & Harris Group, Inc.
(d) Neither of the reporting persons has during the last five years
been convicted in a criminal proceeding.
(e) Mr. Harris and Mrs. Harris have not been and are not subject to a
judgment, decree of final order enjoining future violations of, or
prohibiting or mandating activities subject to, federal or state securities
laws or finding any violations with respect to such laws.
(f) Mr. Harris and Mrs. Harris are husband and wife and are citizens
of the United States of America.
Item 3. Sources and Amount of Funds of Other Consideration.
Not applicable
Item 4. Purpose of Transaction.
Mrs. Susan T. Harris and Mr. Charles E. Harris, trustees of the Susan
T. and Charles E. Harris Foundation, have decided to liquidate the
Foundation by donating all of its property, including 95,435 shares of the
Common Stock, to the Fidelity Charitable Gift Fund. The transfer of the
95,435 shares will take place on September 6, 2000. It is expected that the
Fidelity Charitable Gift Fund will sell the shares in an orderly manner and
invest the proceeds in Fidelity mutual funds.
Item 5. Interest in Securities of the Issuer.
Currently, Mr. Charles E. Harris and Mrs. Susan T. Harris, may be
deemed to be the beneficial owners of 887,354 shares of common stock of
Harris & Harris Group, Inc., (the "Common Stock") including 95,435 shares
owned by the Susan T. and Charles E. Harris Foundation in which Susan T.
and Charles E. Harris are named trustees (the power to vote and dispose of
the shares is vested with the trustees). Such shares represent 9.60% of the
outstanding Common Stock.
After giving effect to the donation referred to above, Mr. Charles E.
Harris and Mrs. Susan T. Harris, may be deemed to be the beneficial owners
of 791,919 shares of common stock of Harris & Harris Group, Inc. Such
shares represent 8.57% of the outstanding Common Stock.
After giving effect to the donation referred to above, Mr. Harris has
sole power to vote and dispose of 8,500 shares of Common Stock and Mrs.
Harris has sole power to vote and dispose of 783,419 shares of Common
Stock.
Mr. and Mrs. Harris make independent decisions with respect to the
shares beneficially owned or controlled by them individually and
specifically disclaim that they are members of a group.
Mr. Harris disclaims beneficial ownership of the 783,419 shares of
Common Stock over which Mrs. Harris has sole voting and dispositive power.
Mrs. Harris disclaims beneficial ownership of the 8,500 shares of Common
Stock over which Mr. Harris has sole voting and dispositive power.
Item 6. Contracts, Arrangements, Understanding or Relationships
with Respect to Securities of the Issuer.
The Employment Agreement between Harris & Harris Group, Inc. and
Charles E. Harris, dated October 19, 1999, is hereby incorporated by
reference from the Company's Form 8-K as filed with the Securities and
Exchange Commission October 27, 1999.
Item 7. Material to be Filed as Exhibits.
None
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.
Date: September 5, 2000
/s/ Charles E. Harris
-----------------------------
Charles E. Harris
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.
Date: September 5, 2000
/s/ Susan T. Harris
-----------------------------
Susan T. Harris
Exhibit 1
The undersigned, Charles E. Harris and Susan T. Harris, hereby agree
to file jointly this 13D and all amendments, with respect to the common
stock of Harris & Harris Group, Inc., but disclaim that they are a group.
Date: September 5, 2000
/s/ Charles E. Harris
-----------------------------
Charles E. Harris
/s/ Susan T. Harris
-----------------------------
Susan T. Harris
