UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
HARRIS & HARRIS GROUP, INC.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
413833104
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(CUSIP Number)
August 2, 2002
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(Date of Event Which Requires Filing of This Statement)
*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 the
disclosures provided in a prior cover page.
The information required in 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 ("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).
Page 1 of 21 pages
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CUSIP No. 413833104 Page 2 of 21 Pages
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SCHEDULE 13G
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Edwin S. Marks
127-28-3950
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER OF 328,919 shares
SHARES -------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH 382,915 shares
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
328,919 shares
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
382,915 shares
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
711,834 shares
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[X]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.19%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Pages 2 of 21 pages
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CUSIP No. 413833104 Page 3 of 21 Pages
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SCHEDULE 13G
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Nancy A. Marks
026-24-9247
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER OF 321,912 shares
SHARES -------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH 0
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
321,912 shares
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
321,912 shares
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[X]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.80%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Pages 3 of 21 pages
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CUSIP No. 413833104 Page 4 of 21 Pages
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SCHEDULE 13G
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Linda Katz
128-38-0399
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER OF 7,668 shares
SHARES -------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH 0
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
7,668 shares
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,668 shares
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[X]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.07%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Pages 4 of 21 pages
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CUSIP No. 413833104 Page 5 of 21 Pages
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SCHEDULE 13G
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Carolyn Marks
128-38-0800
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER OF 15,001 shares
SHARES -------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH 0
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
15,001 shares
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
15,001 shares
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[X]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.13%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Pages 5 of 21 pages
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CUSIP No. 413833104 Page 6 of 21 Pages
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SCHEDULE 13G
--------- ----------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Carl Marks & Co. Inc.
13-3146265
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
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5 SOLE VOTING POWER
NUMBER OF 38,334 shares
SHARES -------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH 0
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
38,334 shares
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
38,334 shares
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[X]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.33%
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12 TYPE OF REPORTING PERSON*
CO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Pages 6 of 21 pages
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CUSIP No. 413833104 Page 7 of 21 Pages
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SCHEDULE 13G
PRELIMINARY NOTE
THIS COMBINED STATEMENT IS BEING FILED ON BEHALF OF EDWIN S. MARKS,
NANCY A. MARKS, CARL MARKS & CO. INC., LINDA KATZ AND CAROLYN MARKS.
ITEM 1.
(a) Name of Issuer:
Harris & Harris Group, Inc.
(b) Address of Issuer's Principal Executive Offices:
One Rockefeller Plaza
Rockefeller Center
New York, New York 10020
ITEM 2.
(a) Name of Persons Filing:
Edwin S. Marks, Nancy A. Marks, Carl Marks & Co. Inc.,
Linda Katz and Carolyn Marks
(b) Address of Principal Business Office or, if none, Residence:
The principal business office of each Reporting Person is:
135 East 57th Street
27th Floor
New York, NY 10022
(c) Citizenship:
Edwin S. Marks: United States
Nancy A. Marks: United States
Linda Katz: United States
Carolyn Marks: United States
Carl Marks & Co. Inc: New York
(d) Title of Class of Securities:
Common Stock
(e) CUSIP Number:
413833104
Page 7 of 21 pages
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CUSIP No. 413833104 Page 8 of 21 Pages
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SCHEDULE 13G
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b) OR (c), OR
13d-2(b), CHECK WHETHER THE PERSON FILING IS A:
NOT APPLICABLE
(a) [ ] Broker or Dealer registered under Section 15 of the Act
(b) [ ] Bank as defined in section 3(a)(6) of the Act
(c) [ ] Insurance Company as defined in section 3(a)(19) of the Act
(d) [ ] Investment Company registered under section 8 of the
Investment Company Act
(e) [ ] Investment Adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [ ] Employee Benefit Plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
(g) [ ] Parent Holding Company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C.ss.1813);
(i) [ ] A church plan that is excluded from the definition of
investment company under Section 3(c)(14) of the Investment
Company Act of 1940;
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP
a. Amount beneficially owned: 711,834
(i) Edwin S. Marks 328,919
(ii) Nancy A. Marks 321,912
(iii) Carl Marks & Co. Inc. 38,334
(iv) Linda Katz 7,668
(v) Carolyn Marks 15,001
b. Percent of class: 6.19%
c. Number of shares:
(i) Sole power to vote or direct vote:
Edwin S. Marks 328,919
Nancy A. Marks 321,912
Carl Marks & Co. Inc. 38,334
Linda Katz 7,668
Carolyn Marks 15,001
(ii) Shared Power to vote or direct vote:
Page 8 of 21 pages
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CUSIP No. 413833104 Page 9 of 21 Pages
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SCHEDULE 13G
Edwin S. Marks 382,915
All other Reporting Persons 0
(iii) Sole power to dispose or to direct disposition of:
Same response as (c)(i) above.
(iv) Shared power to dispose or direct the disposition of:
Same response as (c)(ii) above.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
NOT APPLICABLE
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
NOT APPLICABLE
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR
CONTROL PERSON.
NOT APPLICABLE
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
NOT APPLICABLE
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
NOT APPLICABLE
ITEM 10. CERTIFICATIONS
SEE ATTACHED CERTIFICATIONS
Pages 9 of 21 pages
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CUSIP No. 413833104 Page 10 of 21 Pages
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SCHEDULE 13G
CERTIFICATION
-------------
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not being
held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that purpose or
effect.
/s/ Edwin S. Marks
---------------------------------
Edwin S. Marks
Page 10 of 21 pages
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CUSIP No. 413833104 Page 11 of 21 Pages
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SCHEDULE 13G
CERTIFICATION
-------------
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not being
held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that purpose or
effect.
/s/ Nancy A. Marks
---------------------------------
Nancy A. Marks
Page 11 of 21 pages
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CUSIP No. 413833104 Page 12 of 21 Pages
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SCHEDULE 13G
CERTIFICATION
-------------
By signing below the undersigned certifies that, to the best of its
knowledge and belief, the securities referred to above were not acquired and are
not being held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not
held in connection with or as a participant in any transaction having that
purpose or effect.
Carl Marks & Co. Inc.
By: /s/ David Shnitkin
------------------------
Name: David Shnitkin
Title: Controller
Page 12 of 21 pages
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CUSIP No. 413833104 Page 13 of 21 Pages
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SCHEDULE 13G
CERTIFICATION
-------------
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not being
held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that purpose or
effect.
/s/ Linda Katz
------------------------
Linda Katz
Page 13 of 21 pages
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CUSIP No. 413833104 Page 14 of 21 Pages
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SCHEDULE 13G
CERTIFICATION
-------------
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not being
held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that purpose or
effect.
/s/ Carolyn Marks
----------------------------
Carolyn Marks
Page 14 of 21 pages
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CUSIP No. 413833104 Page 15 of 21 Pages
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SCHEDULE 13G
EXHIBITS
A. Joint Filing Statement
See Exhibit A on page 21.
Page 15 of 21 pages
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CUSIP No. 413833104 Page 16 of 21 Pages
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SCHEDULE 13G
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.
/s/ Edwin S. Marks
---------------------------
Edwin S. Marks
Dated: September 16, 2002
Page 16 of 21 pages
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CUSIP No. 413833104 Page 17 of 21 Pages
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SCHEDULE 13G
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.
/s/ Nancy A. Marks
-----------------------------
Nancy A. Marks
Dated: September 16, 2002
Page 17 of 21 pages
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CUSIP No. 413833104 Page 18 of 21 Pages
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SCHEDULE 13G
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.
CARL MARKS & CO. INC.
By: /s/ David Shnitkin
--------------------------
Name: David Shnitkin
Title: Controller
Dated: September 16, 2002
Page 18 of 21 pages
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CUSIP No. 413833104 Page 19 of 21 Pages
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SCHEDULE 13G
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.
/s/ Linda Katz
---------------------
Linda Katz
Dated: September 16, 2002
Page 19 of 21 pages
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CUSIP No. 413833104 Page 20 of 21 Pages
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SCHEDULE 13G
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.
/s/ Carolyn Marks
------------------------------
Carolyn Marks
Dated: September 16, 2002
Page 20 of 21 pages
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CUSIP No. 413833104 Page 21 of 21 Pages
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SCHEDULE 13G
EXHIBIT A - JOINT FILING STATEMENT
Pursuant to Rule 13d-1(k)(1), we, the undersigned, hereby express our
agreement that the Schedule 13G for Harris & Harris Group, Inc. is filed on
behalf of each of us. This agreement may be signed in any number of
counterparts, each of which shall be an original, with the same effect as if the
signatures thereto and hereto were upon the same instrument.
Dated: September 16, 2002
/s/ Edwin S. Marks
--------------------------
Edwin S. Marks
/s/ Nancy A. Marks
--------------------------
Nancy A. Marks
CARL MARKS & CO INC.
By: /s/ David Shnitkin
----------------------
Name: David Shnitkin
Title: Controller
/s/ Linda Katz
--------------------------
Linda Katz
/s/ Carolyn Marks
--------------------------
Carolyn Marks
Page 21 of 21 pages