0001127602-11-014719.txt : 20110503 0001127602-11-014719.hdr.sgml : 20110503 20110503163406 ACCESSION NUMBER: 0001127602-11-014719 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110502 FILED AS OF DATE: 20110503 DATE AS OF CHANGE: 20110503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Egan Patricia N CENTRAL INDEX KEY: 0001329416 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00176 FILM NUMBER: 11805834 MAIL ADDRESS: STREET 1: HARRIS & HARRIS GROUP, INC. STREET 2: 111 WEST 57TH STREET, SUITE 1100 CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 1450 BROADWAY STREET 2: FLOOR 24 CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-582-0900 MAIL ADDRESS: STREET 1: 1450 BROADWAY STREET 2: FLOOR 24 CITY: NEW YORK STATE: NY ZIP: 10018 4 1 form4.xml PRIMARY DOCUMENT X0303 4 2011-05-02 0000893739 HARRIS & HARRIS GROUP INC /NY/ TINY 0001329416 Egan Patricia N 1450 BROADWAY FLOOR 24 NEW YORK NY 10018 1 Chief Accounting Officer Common Stock 2011-05-02 4 M 0 3000 4.46 A 3377 D Common Stock 2011-05-02 4 S 0 3000 5.1351 D 377 D Employee Stock Option (Right to Buy) 4.46 2011-05-02 4 M 0 3000 0 D 2011-05-13 Common Stock 3000 0 D Options vest equally on November 13, 2009 and May 13, 2010. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 18, 2009. /s/ Patricia N. Egan 2011-05-03