Unassociated Document
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 
FORM 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported):
 
November 9, 2009 (November 9, 2009)

 
HARRIS & HARRIS GROUP, INC.
(Exact name of registrant as specified in its charter)
         
New York
(State or other jurisdiction of
incorporation)
  
0-11576
(Commission File
Number)
  
13-3119827
(IRS Employer
Identification No.)

 
111 West 57th Street
New York, New York 10019
(Address of principal executive offices and zip code)
 
(212) 582-0900
(Registrant’s telephone number, including area code)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
o    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 

Item 8.01.       Other Events.

On November 9, 2009, Harris & Harris Group, Inc. (the “Company”) released the letter to shareholders for the third quarter of 2009, which is available on the Company’s website, www.HHVC.com.  A copy of the letter to shareholders is attached as Exhibit 99.1 to this Form 8-K, and the Company's press release issued November 9, 2009, is attached as Exhibit 99.2.

Forward-Looking Statements

The letter to shareholders for the third quarter of 2009 may contain statements of a forward-looking nature relating to future events. These forward-looking statements are subject to the inherent uncertainties in predicting future results and conditions.  These statements reflect the Company's current beliefs, and a number of important factors could cause actual results to differ materially from those expressed in the letter to shareholders for the third quarter of 2009.  Please see the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2008, the Company’s report on Form 10-Q for the quarter ended September 30, 2009, and subsequent filings, filed with the Securities and Exchange Commission, for a more detailed discussion of the risks and uncertainties associated with the Company's business, including but not limited to the risks and uncertainties associated with venture capital investing and other significant factors that could affect the Company's actual results. Except as otherwise required by Federal securities laws, the Company undertakes no obligation to update or revise these forward-looking statements to reflect new events or uncertainties.  

Additional Information

The reference to the website www.HHVC.com has been provided as a convenience, and the information contained on such website is not incorporated by reference into this Form 8-K.

Item 9.01.         Financial Statements and Exhibits.
 
  (a)  Not applicable. 
     
 
(b)
Not applicable.

 
(c)
Not applicable.

 
(d)
Exhibits.


 
Exhibit No.
Description
     
 
99.1
Third Quarter Letter to Shareholders
 
99.2
Press Release dated November 9, 2009

 
 
 


SIGNATURES


Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
Date: November 9, 2009
 HARRIS & HARRIS GROUP, INC.
     
     
     
 
By:  
/s/ Douglas W. Jamison
   
Douglas W. Jamison
   
Chief Executive Officer


 
 
 

EXHIBIT INDEX

 
Exhibit No.
Description
     
 
99.1
Third Quarter Letter to Shareholders
 
99.2
Press Release dated November 9, 2009