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):
 
February 2, 2011 (February 2, 2011)
 
        

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

 
    1450 Broadway New York, New York 10018    
(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 7.01.                                Regulation FD Disclosure.

On February 2, 2011, Harris & Harris Group, Inc. (the “Company”) issued a press release disclosing that NeoPhotonics Corporation has priced its initial public offering (IPO) of 7,500,000 shares of common stock at $11 per share.  The Company has been an investor in NeoPhotonics since 2003.  We also bought 50,000 shares of common stock in the IPO.  A copy of the Company's press release issued February 2, 2011, is attached as Exhibit 99.1.


Item 9.01.                                Financial Statements and Exhibits.

 

(a)   Not applicable.
   
(b)  
Not applicable.

(c)  
Not applicable.

(d)  
Exhibits.

                                                

  Exhibit No. Description
     
 
99.1
Press Release, dated February 2, 2011
 
 
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.


  HARRIS & HARRIS GROUP, INC.  
       
Date:  February 2, 2011     
By:
/s/ Douglas W. Jamison  
    Douglas W. Jamison  
    Chief Executive Officer  
       
 
 
 

EXHIBIT INDEX
 
  Exhibit No. Description
     
 
99.1
Press Release, dated February 2, 2011