FORM 4 OMB APPROVAL [ ] Check this box if no longer --------------------------------- subject to Section 16. Form 4 OMB NUMBER 3235-0287 or Form 5 obligations may EXPIRES DECEMBER 31, 2001 continue. See Instruction 1(b). ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE............0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Roberts, James E. One Rockefeller Plaza, Suite 1430 New York, NY 10020 - ----------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Harris & Harris Group, Inc. (HHGP) - ----------------------------------------------------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) - ----------------------------------------------------------------------------- 4. Statement for Month/Year September 2000 - ----------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) NA - ------------------------------------------------------------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ---------------- - ------------------------------------------------------------------------------- 7.Individual or Joint/Group Filing (Check Applicable Line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
- -------------------------------------------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - -------------------------------------------------------------------------------- 1. Title 2. Trans- 3. Trans- 4. Securities 5. Amount of 6. Owner- of action action Acquired (A) or Securities ship Form: Security) Date Code Disposed of (D) Benefically Direct (D) (Instr. 3) (Month/ (Instr.8) (Instr. 3,4,& 5) Owned at or Indirect Day/Year) ----------------------------- End of Month (I) Code V Amount (A) or Price (Instr. 3 & 4) (Instr. 4) (D) - ------------------------------------------------------------------------------- Common Stock 9/27/00 P 1,200 (A) $8.283125 9,235 (D) 7. Nature of Indirect Beneficial Ownership (Instr. 4) - ----------------------------------------------------------------------------- NOT APPLICABLE - ------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securiies beneficially owned directly or indirectly. *If this form is filed by more than one reporting person, see Instruction 4(b)(v).
- -------------------------------------------------------------------------------- Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - -------------------------------------------------------------------------------- 1. Title of 2. Conver- 3. Trans- 4. Trans- 5. Number 6. Date 7. Title Derivative sion or action action of Deriv- Exercisable and Amount Security Exercise Date Code ative Se- and Expir- of Under- (Instr.3) Price of (Month/ (Instr. 8) curities ation Date lying Se- Derivative Day/Year) Acquired (Month/Day/ curities Security (A) or Year) (Instr. Disposed 3 & 4) of (D) ---------------------- (Instr. Date Expir- Title & 3, 4 & 5) Exer- ation Amt. of ------------------ cis- Date Shares Code V (A) (D) able - ------------------------------------------------------------------------------- NOT APPLICABLE - ------------------------------------------------------------------------------- 8. Price of 9. Number of 10. Ownership Form 11. Nature of Indirect Derivative Derivative of Derivative Beneficial Ownership Security Securities Security: Direct (Instr. 4) (Instr. 5) Beneficially (D) or Indirect Owned at End (I) (Instr. 4) of Month (Instr. 4) - ------------------------------------------------------------------------------- NOT APPLICABLE - --------------------------------------------------------------------------------
Explanation of Responses: /s/James E. Roberts September 30, 2000 - ------------------------------- ------------------ **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.