-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M3zfM+7S1YumFy519nJLo2WOsAH9Zu3L77o68PF5jrGyP0EN0G5XYR2hK0LasbXc HLom2WXBhVR4kwZucnvQIA== 0001072613-04-000040.txt : 20040116 0001072613-04-000040.hdr.sgml : 20040116 20040116164101 ACCESSION NUMBER: 0001072613-04-000040 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040116 GROUP MEMBERS: ARTERIO, INC. GROUP MEMBERS: ARTERIO, INC. PROFIT SHARING PLAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS & HARRIS GROUP INC /NY/ CENTRAL INDEX KEY: 0000893739 STANDARD INDUSTRIAL CLASSIFICATION: INVESTORS, NEC [6799] IRS NUMBER: 133119827 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-45646 FILM NUMBER: 04530088 BUSINESS ADDRESS: STREET 1: 111 WEST 57TH STREET STREET 2: SUITE 1100 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-582-0900 MAIL ADDRESS: STREET 1: 111 WEST 57TH STREET STREET 2: SUITE 1100 CITY: NEW YORK STATE: NY ZIP: 10019 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROTHSCHILD JONATHAN E CENTRAL INDEX KEY: 0001043218 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O IMMUCELL CORP STREET 2: 56 EVERGREEN DRIVE CITY: PORTLAND STATE: ME ZIP: 04103 BUSINESS PHONE: 2078782770 MAIL ADDRESS: STREET 1: C/O IMMUCELL CORP STREET 2: 56 EVERGREEN DRIVE CITY: PORTLAND STATE: ME ZIP: 04103 SC 13G 1 sch13g_12416.txt SCHEDULE 13G - JONATHAN E. ROTHSCHILD ================================================================================ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Harris and Harris Group, Inc. ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share ------------------------------------------------------------------------------- (Title of Class of Securities) 413833104 ------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). ================================================================================ =================== ================= CUSIP No. 413833104 13G Page 2 of 6 Pages =================== ================= ====== ======================================================================= 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Jonathan E. Rothschild - ------ ----------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] - ------ ----------------------------------------------------------------------- 3. SEC USE ONLY - ------ ----------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------ ----------------------------------------------------------------------- 5. SOLE VOTING POWER 770,330 (includes 453,620 shares owned directly, 214,980 shares owned indirectly through a wholly owned corporation and 101,730 shares owned indirectly through NUMBER a profit sharing plan of that corporation) OF ------ -------------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY EACH 0 REPORTING ------ -------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 770,330 (includes 453,620 shares owned directly, 214,980 shares owned indirectly through a wholly owned corporation and 101,730 shares owned indirectly through a profit sharing plan of that corporation) ------ -------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - ------ ----------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 770,330 (includes 453,620 shares owned directly, 214,980 shares owned indirectly through a wholly owned corporation and 101,730 shares owned indirectly through a profit sharing plan of that corporation) - ------ ----------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [_] - ------ ----------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.6% - ------ ----------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN ====== ======================================================================= =================== ================= CUSIP No. 413833104 13G Page 3 of 6 Pages =================== ================= Item 1 (a). Name of Issuer: -------------- Harris and Harris Group, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: ----------------------------------------------- 111 West 57th Street New York, NY 10019 Item 2(a). Name of Person Filing: --------------------- Jonathan E. Rothschild Item 2(b). Address of Principal Business Office or, if None, Residence: ----------------------------------------------------------- c/o Arterio, Inc., 1061-B Shary Circle, Concord, CA 94518 Item 2(c). Citizenship. ----------- Mr. Rothschild is a citizen of the United States. Item 2(d). Title of Class of Securities: ---------------------------- common stock, par value $.01 per share ("Common Stock"). Item 2(e). CUSIP Number: ------------ 413833104 Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or -------------------------------------------------------------------- (c), check whether the person filing is a: ----------------------------------------- Not applicable. Item 4. Ownership. --------- (a) Amount Beneficially Owned: ------------------------- Mr. Rothschild beneficially owns 770,330 shares of Common Stock of the Issuer, which includes 453,620 shares owned directly, 214,980 shares owned indirectly through a wholly owned corporation, Arterio, Inc., and 101,730 shares owned indirectly through a profit sharing plan of that corporation. =================== ================= CUSIP No. 413833104 13G Page 4 of 6 Pages =================== ================= (b) Percent of Class: ---------------- 5.6%. (c) Number of shares as to which such person has: -------------------------------------------- (i) Sole power to vote or to direct the vote: 770,330 (includes 453,620 shares owned directly, 214,980 shares owned indirectly through a wholly owned corporation, Arterio, Inc., and 101,730 owned indirectly through the Arterio, Inc. Profit Sharing Plan) (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 770,330 (includes 453,620 shares owned directly, 214,980 shares owned indirectly through a wholly owned corporation, Arterio, Inc., and 101,730 owned indirectly through the Arterio, Inc. Profit Sharing Plan) (iv) Shared power to dispose or direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. [_] Item 6. Ownership of More Than Five Percent on Behalf of Another Person. --------------------------------------------------------------- Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired ------------------------------------------------------------------ the Security Being Reported on by the Parent Holding Company or --------------------------------------------------------------- Control Person. -------------- Not Applicable. Item 8. Identification and Classification of Members of the Group. --------------------------------------------------------- Not Applicable. Item 9. Notice of Dissolution of Group. ------------------------------ Not Applicable. =================== ================= CUSIP No. 413833104 13G Page 5 of 6 Pages =================== ================= Item 10. Certifications. -------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. =================== ================= CUSIP No. 413833104 13G Page 6 of 6 Pages =================== ================= SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 16, 2004 /s/ Jonathan E. Rothschild -------------------------- Jonathan E. Rothschild -----END PRIVACY-ENHANCED MESSAGE-----