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):

 

October 27, 2015

 

 

 

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.)

 

 

 

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:

 

¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨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 October 27, 2015, Harris & Harris Group, Inc. (the "Company") noted its portfolio company, Adesto Technologies Corporation, announced yesterday the pricing of its initial public offering of 5,000,000 shares of its common stock at a public offering price of $5.00 per share. All shares of common stock are being offered by the company. In addition, Adesto has granted the underwriters a 30-day option to purchase up to an additional 750,000 shares of common stock at the same price to cover over-allotments, if any. The shares are expected to begin trading on the NASDAQ Capital Market today under the symbol “IOTS.” Needham & Company and Oppenheimer & Co. are acting as joint book-running managers for the offering. Roth Capital Partners is acting as co-manager for the offering. The Company’s press release is attached hereto as Exhibit 99.1.

 

Item 9.01.Financial Statements and Exhibits.

 

(a)Not applicable.

 

(b)Not applicable.

 

(c)Not applicable.

 

(d)Exhibits.

 

Exhibit No.Description

 

99.1Press Release dated October 27, 2015

 

 

 

 

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: October 27, 2015 HARRIS & HARRIS GROUP, INC.
        
        
        
  By:  /s/ Patricia N. Egan  
     Patricia N. Egan  
  Chief Financial Officer  

 

 

 

 

EXHIBIT INDEX

 

Exhibit No.Description

 

99.1Press Release dated October 27, 2015