FORM 4 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to
Section 16(a) of the Securities Exchange Act of |
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Check this box if no longer |
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(Print or Type Responses) |
1. Name and Address of Reporting
Person* |
2. Issuer Name and Ticker or Trading Symbol Harris & Harris Group, Inc. (TINY) |
6. Relationship of Reporting Person(s) to
Issuer | ||||||||||
|
Director |
|
10% Owner | |||||||||
X |
Officer (give title below) |
|
Other (specify below) | |||||||||
Secretary | ||||||||||||
(Last) (First) (Middle) |
3. I.R.S. Identification Number
of |
4. Statement for Month/Year July 2002 |
7. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||
5. If Amendment, Date
of |
X |
Form filed by One Reporting Person | ||||||||||
(Street) |
|
Form filed by More than One Reporting Person | ||||||||||
(City) (State) (Zip) |
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||
1. Title of
Security |
2. Transaction
Date |
3. Transaction |
4. Securities Acquired
(A) |
5. Amount of
Securities |
6. Ownership |
7. Nature
of | ||||||
Code |
V |
Amount |
(A) or |
Price | ||||||||
Common Stock |
7/9/02 |
X |
V |
261,140 |
A |
$2.25 |
1,044,559 |
D |
||||
Common Stock |
11,334 |
I |
Charles E. Harris (Spouse) | |||||||||
FORM 4 (continued) |
Table II `Derivative Securities Acquired, Disposed of, or Beneficially
Owned | |||||||||||||
1. Title
of |
2. Conversion |
3. Transaction (Month/Day/Year) |
4. Transaction |
5. Number
of |
6. Date
Exercisable |
7. Title and Amount
of |
8. Price
of |
9. Number
of |
10. Ownership |
11. Nature
of | ||||
Code |
V |
(A) |
(D) |
Date |
Expiration |
Title |
Amount or | |||||||
Subscription Rights (Right to Buy)1 |
$2.25 |
7/9/02 |
X |
V |
261,140 |
IMMED. |
7/26/02 |
Common Stock |
261,140 |
0 |
D |
|||
Subscription Rights (Right to Buy)1 |
Common Stock |
2,834 |
0 |
I |
Charles E. Harris (Spouse | |||||||||
Explanation of Responses: |
1Both Charles E. Harris & Susan T. Harris independently decided to exercise their Subscription Rights in a Rights Offering by Harris & Harris Group, Inc. due to expire on July 26, 2002. |
/s/ Susan T. Harris |
July 10, 2002 |
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**Signature of Reporting Person |
Date | |||||
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||||||
* |
If the form is filed by more than one reporting person, see Instruction 4(b)(v). | |||||
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. | |||||
See18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||||||
Note: |
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |