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):

May 6, 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:

 

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 May 6, 2015, Harris & Harris Group, Inc. (the "Company") noted that its portfolio company, OpGen, Inc., announced the pricing of its initial public offering of 2,850,000 units, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at a combined price to the public of $6.00 per unit. All of the units are being offered by OpGen. OpGen's common stock and warrants have been approved for listing on the NASDAQ Capital Market. Each of the common stock and warrants began trading separately on May 5, 2015, under the symbols "OPGN" and "OPGNW," respectively. Each warrant will be immediately exercisable upon issuance for one share of common stock at an exercise price of $6.60 per share and will expire on May 8, 2020. 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 May 6, 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:  May 6, 2015 HARRIS & HARRIS GROUP, INC.
   
   
   
   
  By:  /s/ Patricia N. Egan                             
   Patricia N. Egan
   Chief Financial Officer

 
 

 

 

EXHIBIT INDEX

 

Exhibit No. Description
   
99.1 Press Release dated May 6, 2015