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. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 413833104 - -------------------------------------------------------------------------------- (CUSIP Number) August 2, 2002 - -------------------------------------------------------------------------------- (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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 2 of 21 Pages - ------------------------- ------------------------ SCHEDULE 13G - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Edwin S. Marks ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 711,834 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 6.19% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Pages 2 of 21 pages - ------------------------- ------------------------ CUSIP No. 413833104 Page 3 of 21 Pages - ------------------------- ------------------------ SCHEDULE 13G - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Nancy A. Marks ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 321,912 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 2.80% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Pages 3 of 21 pages - ------------------------- ------------------------ CUSIP No. 413833104 Page 4 of 21 Pages - ------------------------- ------------------------ SCHEDULE 13G - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Linda Katz ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,668 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 .07% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Pages 4 of 21 pages - ------------------------- ------------------------ CUSIP No. 413833104 Page 5 of 21 Pages - ------------------------- ------------------------ SCHEDULE 13G - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Carolyn Marks ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,001 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 .13% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Pages 5 of 21 pages - ------------------------- ------------------------ CUSIP No. 413833104 Page 6 of 21 Pages - ------------------------- ------------------------ SCHEDULE 13G - --------- ---------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Carl Marks & Co. Inc. 13-3146265 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 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] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 .33% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Pages 6 of 21 pages - ------------------------- ------------------------ CUSIP No. 413833104 Page 7 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 8 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 9 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 10 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 11 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 12 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 13 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 14 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 15 of 21 Pages - ------------------------- ------------------------ SCHEDULE 13G EXHIBITS A. Joint Filing Statement See Exhibit A on page 21. Page 15 of 21 pages - ------------------------- ------------------------ CUSIP No. 413833104 Page 16 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 17 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 18 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 19 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 20 of 21 Pages - ------------------------- ------------------------ 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 - ------------------------- ------------------------ CUSIP No. 413833104 Page 21 of 21 Pages - ------------------------- ------------------------ 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