DEFA14A: Additional definitive proxy soliciting materials and Rule 14(a)(12) material
Published on March 17, 2010
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):
March 17,
2010 (March 17, 2010)
HARRIS
& HARRIS GROUP, INC.
(Exact
name of registrant as specified in its charter)
|
New
York
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0-11576
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13-3119827
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||
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(State
or other jurisdiction of
incorporation)
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(Commission
File
Number)
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(IRS
Employer
Identification
No.)
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1450
Broadway
New
York, New York 10018
(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)
ý
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))
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Item
8.01.
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Other
Events.
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On March
17, 2010, Harris & Harris Group, Inc. (the “Company”) released the Annual
Letter to Shareholders, which is available on the Company’s website,
www.HHVC.com. A copy of the Annual Letter to Shareholders is attached
as Exhibit 99.1 to this Form 8-K, and the Company's press release issued March
17, 2010, is attached as Exhibit 99.2.
The
Annual Letter to Shareholders 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 Annual Letter to Shareholders. Please see the Company's Annual
Report on Form 10-K for the year ended December 31, 2009, as well as subsequent
SEC 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, Harris & Harris Group, Inc., undertakes no obligation to
update or revise these forward-looking statements to reflect new events or
uncertainties.
Additional
Information
Shareholders are advised to read the
Company’s Proxy Statement for the 2010 Annual Meeting of Shareholders when it
becomes available because it contains important information. The
Company’s proxy statement will be available, free of charge, on the Securities
and Exchange Commission’s website (www.sec.gov) and on the Company’s website
(www.HHVC.com). Additional information about the Company, such as the
Company’s Annual Report on Form 10-K, quarterly reports on Form 10-Q, current
reports on Form 8-K and amendments to those reports filed or furnished pursuant
to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, are also
available free of charge at www.sec.gov and www.HHVC.com. The
references to the websites www.HHVC.com and www.sec.gov have been provided as a
convenience, and the information contained on such websites is not incorporated
by reference into this Form 8-K.
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Item
9.01.
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Financial
Statements and Exhibits.
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(a)
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Not
applicable.
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(b)
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Not
applicable.
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(c)
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Not
applicable.
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(d)
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Exhibits.
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Exhibit
No. Description
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99.1
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Annual
Letter to Shareholders
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|
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99.2
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Press
Release dated March 17, 2010
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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.
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Date:
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March
17, 2010
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HARRIS
& HARRIS GROUP, INC.
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||
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By:
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/s/ Douglas W. Jamison
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|||
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Douglas
W. Jamison
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||||
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Chief
Executive Officer
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||||
EXHIBIT
INDEX
Exhibit
No. Description
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99.1
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Annual
Letter to Shareholders
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|
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99.2
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Press
Release dated March 17, 2010
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