8-K: Current report
Published on November 9, 2009
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):
November
9, 2009 (November 9, 2009)
HARRIS
& HARRIS GROUP, INC.
(Exact
name of registrant as specified in its charter)
|
New
York
(State
or other jurisdiction of
incorporation)
|
0-11576
(Commission
File
Number)
|
13-3119827
(IRS
Employer
Identification
No.)
|
111
West 57th Street
New
York, New York 10019
(Address
of principal executive offices and zip code)
(212)
582-0900
(Registrant’s
telephone number, including area code)
Check the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions:
o
Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
Item
8.01. Other Events.
On
November 9, 2009, Harris & Harris Group, Inc. (the “Company”) released the
letter to shareholders for the third quarter of 2009, which is available on the
Company’s website, www.HHVC.com. A copy of the letter to shareholders
is attached as Exhibit 99.1 to this Form 8-K, and the Company's press release
issued November 9, 2009, is attached as Exhibit 99.2.
Forward-Looking
Statements
The
letter to shareholders for the third quarter of 2009 may contain statements of a
forward-looking nature relating to future events. These forward-looking
statements are subject to the inherent uncertainties in predicting future
results and conditions. These statements reflect the Company's current
beliefs, and a number of important factors could cause actual results to differ
materially from those expressed in the letter to shareholders for the third
quarter of 2009. Please see the Company's Annual Report on Form 10-K
for the fiscal year ended December 31, 2008, the Company’s report on Form 10-Q
for the quarter ended September 30, 2009, and subsequent filings, filed with the
Securities and Exchange Commission, for a more detailed discussion of the risks
and uncertainties associated with the Company's business, including but not
limited to the risks and uncertainties associated with venture capital investing
and other significant factors that could affect the Company's actual results.
Except as otherwise required by Federal securities laws, the Company undertakes
no obligation to update or revise these forward-looking statements to reflect
new events or uncertainties.
Additional
Information
The reference to the website
www.HHVC.com has been provided as a convenience, and the information contained
on such website is not incorporated by reference into this Form
8-K.
Item
9.01. Financial Statements
and Exhibits.
| (a) | Not applicable. | |
|
|
(b)
|
Not
applicable.
|
|
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(c)
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Not
applicable.
|
|
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(d)
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Exhibits.
|
|
Exhibit No.
|
Description
|
|
|
99.1
|
Third
Quarter Letter to Shareholders
|
|
|
99.2
|
Press
Release dated November 9,
2009
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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:
November 9, 2009
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HARRIS & HARRIS GROUP, INC. | |
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By:
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/s/ Douglas W. Jamison
|
|
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Douglas
W. Jamison
|
||
|
Chief
Executive Officer
|
||
EXHIBIT
INDEX
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Exhibit No.
|
Description
|
|
|
99.1
|
Third
Quarter Letter to Shareholders
|
|
|
99.2
|
Press
Release dated November 9,
2009
|