UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
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)
December 31, 2003
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(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*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 19 pages
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CUSIP No. 413833104 Page 2 of 19 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
Estate of Edwin S. Marks
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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 0 shares
SHARES ---------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH
REPORTING 0 shares
PERSON ---------------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 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
0%
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 2 of 19 pages
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CUSIP No. 413833104 Page 3 of 19 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
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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 279,798 shares
SHARES -----------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH
REPORTING 0
PERSON -----------------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
279,798 shares
-----------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
279,798 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
2.03%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 3 of 19 pages
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CUSIP No. 413833104 Page 4 of 19 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
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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
REPORTING 0
PERSON ---------------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
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
.06%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 4 of 19 pages
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CUSIP No. 413833104 Page 5 of 19 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
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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
REPORTING 0
PERSON ----------------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
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
.11%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 5 of 19 pages
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CUSIP No. 413833104 Page 6 of 19 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
Carl Marks & Co. Inc.
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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 0 shares
SHARES ---------------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED
BY EACH 0
REPORTING ---------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH
0 shares
---------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[X]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0%
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12 TYPE OF REPORTING PERSON*
CO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 6 of 19 pages
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CUSIP No. 413833104 Page 7 of 19 Pages
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SCHEDULE 13G
PRELIMINARY NOTE
THIS COMBINED STATEMENT IS BEING FILED ON BEHALF OF ESTATE 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:
111 West 57th Street
Suite 1100
New York, New York 10019
ITEM 2.
(a) Name of Persons Filing:
Estate of 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:
900 Third Avenue
33rd Floor
New York, NY 10022
(c) Citizenship:
Estate of Edwin S. Marks: New York
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 19 pages
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CUSIP No. 413833104 Page 8 of 19 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. (Section) 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: 302,467
(i) Estate of Edwin S. Marks 0
(ii) Nancy A. Marks 279,798
(iii) Carl Marks & Co. Inc. 0
(iv) Linda Katz 7,668
(v) Carolyn Marks 15,001
b. Percent of class: 2.19%
c. Number of shares:
(i) Sole power to vote or direct vote:
Estate of Edwin S. Marks 0
Nancy A. Marks 279,798
Carl Marks & Co. Inc. 0
Linda Katz 7,668
Carolyn Marks 15,001
(ii) Shared Power to vote or direct vote:
Page 8 of 19 pages
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CUSIP No. 413833104 Page 9 of 19 Pages
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SCHEDULE 13G
No Reporting Person has the shared power to vote or direct the vote
for the shares reported.
(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
Page 9 of 19 pages
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CUSIP No. 413833104 Page 10 of 19 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.
Estate of Edwin S. Marks
By: /s/ Nancy A. Marks
----------------------------------
Name: Nancy A. Marks
Title: Executor
Page 10 of 19 pages
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CUSIP No. 413833104 Page 11 of 19 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.
By: /s/ Nancy A. Marks
--------------------------------------
Nancy A. Marks
Page 11 of 19 pages
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CUSIP No. 413833104 Page 12 of 19 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 19 pages
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CUSIP No. 413833104 Page 13 of 19 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.
By: /s/ Linda Katz
---------------------------------------
Linda Katz
Page 13 of 19 pages
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CUSIP No. 413833104 Page 14 of 19 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.
By: /s/ Carolyn Marks
------------------------------
Carolyn Marks
Page 14 of 19 pages
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CUSIP No. 413833104 Page 15 of 19 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.
Estate of Edwin S. Marks
By: /s/ Nancy A. Marks
------------------------------------
Name: Nancy A. Marks
Title: Executor
Dated: May 12, 2004
Page 15 of 19 pages
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CUSIP No. 413833104 Page 16 of 19 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.
By: /s/ Nancy A. Marks
--------------------------
Nancy A. Marks
Dated: May 12, 2004
Page 16 of 19 pages
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CUSIP No. 413833104 Page 17 of 19 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: May 12, 2004
Page 17 of 19 pages
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CUSIP No. 413833104 Page 18 of 19 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.
By: /s/ Linda Katz
-------------------------------
Linda Katz
Dated: May 12, 2004
Page 18 of 19 pages
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CUSIP No. 413833104 Page 19 of 19 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.
By: /s/ Carolyn Marks
-------------------------------
Carolyn Marks
Dated: May 12, 2004
Page 19 of 19 pages