8-K: Current report
Published on August 3, 2007
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
___________________________________
FORM
8-K
Current
Report Pursuant to Section 13 or 15(d) of
the
Securities Exchange Act of 1934
Date
of
Report (Date of earliest event reported):
August
2,
2007
|
HARRIS
& HARRIS GROUP, INC.
|
|
(Exact
name of registrant as specified in its
charter)
|
|
New
York
|
0-11576
|
13-3119827
|
|
(State
or other jurisdiction
of
incorporation)
|
(Commission
File Number)
|
(I.R.S.
Employer Identification No.)
|
|
111
West 57th
Street
|
|
New
York, New York
10019
|
|
(Address
of principal executive offices and zip
code)
|
Registrant's
telephone number, including area code: (212)
582-0900
Harris
& Harris Group, Inc. (the “Company”) and Charles E. Harris, our Chairman and
Chief Executive Officer are parties to an Amended and Restated Employment
Agreement dated as of October 14, 2004, a Severance Compensation Agreement
dated
August 15, 1990 and a Supplemental Executive Retirement Plan (the "SERP", also
known as the Deferred Compensation Agreement, collectively the “Employment
Agreements”). In addition, the Company maintains the Executive Mandatory
Retirement Benefit Plan for high policymaking executives (collectively with
the
Employment Agreements, the "Executive Agreements"). On August 2, 2007, the
Executive Agreements were amended for the purpose of complying with new
requirements imposed by Section 409A of the Internal Revenue Code of 1986.
The
amended Executive Agreements are included as exhibits to this Form
8-K.
Item
9.
Financial
Statements and Exhibits
|
(a)
|
Not
applicable.
|
|
(b)
|
Not
applicable.
|
|
(c)
|
Exhibits.
|
|
Exhibit No.
|
Description
|
||
|
10.1
|
Amended
and Restated Employment Agreement between Harris & Harris Group, Inc.
and Charles E. Harris, dated August 2, 2007
|
||
|
10.2
|
Amended
and Restated Severance Compensation Agreement, dated August 2,
2007
|
||
|
10.3
|
Amended
and Restated Supplemental Executive Retirement Plan, dated August
2,
2007
|
||
|
10.4
|
Amended
and Restated Harris & Harris Group, Inc. Executive Mandatory
Retirement Benefit Plan
|
2
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant
has
duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
|
Date:
August 3, 2007
|
HARRIS & HARRIS GROUP, INC. | |
|
By:
|
/s/
Douglas W. Jamison
Douglas
W. Jamison
|
|
|
President
|
||
3
EXHIBIT
INDEX
|
Exhibit No.
|
Description
|
||
|
10.1
|
Amended
and Restated Employment Agreement between Harris & Harris Group, Inc.
and Charles E. Harris, dated August 2, 2007
|
||
|
10.2
|
Amended
and Restated Severance Compensation Agreement, dated August 2,
2007
|
||
|
10.3
|
Amended
and Restated Supplemental Executive Retirement Plan, dated August
2,
2007
|
||
|
10.4
|
Amended
and Restated Harris & Harris Group, Inc. Executive Mandatory
Retirement Benefit Plan
|
4