401k Plan data: HARRIS & HARRIS LTD 401(K) PLAN plan

HARRIS & HARRIS LTD 401(K) PLAN 401k Plan overview

Plan Name	HARRIS & HARRIS LTD 401(K) PLAN
Plan identification number	001

HARRIS & HARRIS LTD 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

HARRIS & HARRIS, LTD. has sponsored the creation of one or more 401k plans.

Company Name: HARRIS & HARRIS, LTD.

Employer identification number (EIN): 362650423

NAIC Classification: 561440
NAIC Description: Collection Agencies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HARRIS & HARRIS LTD 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 KIONNA GALLOWAY
001 2016-01-01 KIONNA GALLOWAY
001 2015-01-01 KIONNA GALLOWAY KIONNA GALLOWAY 2016-10-17
001 2014-01-01 KIONNA GALLOWAY
001 2013-01-01 KIONNA GALLOWAY
001 2012-01-01 KIONNA GALLOWAY
001 2011-01-01 KIONNA GALLOWAY
001 2009-01-01 ANDREA MARIN

Plan Statistics for HARRIS & HARRIS LTD 401(K) PLAN

401k plan membership statisitcs for HARRIS & HARRIS LTD 401(K) PLAN

Measure Date Value
2022: HARRIS & HARRIS LTD 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 435
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 347
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 60
Total of all active and inactive participants 2022-01-01 407
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 407
Number of participants with account balances 2022-01-01 257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: HARRIS & HARRIS LTD 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 467
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 343
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 63
Total of all active and inactive participants 2021-01-01 406
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 406
Number of participants with account balances 2021-01-01 264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: HARRIS & HARRIS LTD 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 524
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 406
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 60
Total of all active and inactive participants 2020-01-01 466
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 466
Number of participants with account balances 2020-01-01 283
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 3
2019: HARRIS & HARRIS LTD 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 516
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 448
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 57
Total of all active and inactive participants 2019-01-01 505
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 505
Number of participants with account balances 2019-01-01 291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 16
2018: HARRIS & HARRIS LTD 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 485
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 407
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 108
Total of all active and inactive participants 2018-01-01 515
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 515
Number of participants with account balances 2018-01-01 299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 23
2017: HARRIS & HARRIS LTD 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 405
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 362
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 100
Total of all active and inactive participants 2017-01-01 462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 462
Number of participants with account balances 2017-01-01 282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 13
2016: HARRIS & HARRIS LTD 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 385
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 296
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 94
Total of all active and inactive participants 2016-01-01 390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 390
Number of participants with account balances 2016-01-01 255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: HARRIS & HARRIS LTD 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 313
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 296
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 80
Total of all active and inactive participants 2015-01-01 376
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 376
Number of participants with account balances 2015-01-01 234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: HARRIS & HARRIS LTD 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 350
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 264
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 264
Number of participants with account balances 2014-01-01 207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 95
2013: HARRIS & HARRIS LTD 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 332
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 288
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 62
Total of all active and inactive participants 2013-01-01 350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 350
Number of participants with account balances 2013-01-01 205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 106
2012: HARRIS & HARRIS LTD 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 261
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 263
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 51
Total of all active and inactive participants 2012-01-01 314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 315
Number of participants with account balances 2012-01-01 169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 68
2011: HARRIS & HARRIS LTD 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 209
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 218
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 29
Total of all active and inactive participants 2011-01-01 247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 247
Number of participants with account balances 2011-01-01 134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 63
2009: HARRIS & HARRIS LTD 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 244
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 220
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 12
Total of all active and inactive participants 2009-01-01 232
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 234
Number of participants with account balances 2009-01-01 77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2022: HARRIS & HARRIS LTD 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	435
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	347
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	60
Total of all active and inactive participants	2022-01-01	407
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	407
Number of participants with account balances	2022-01-01	257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: HARRIS & HARRIS LTD 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	467
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	343
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	63
Total of all active and inactive participants	2021-01-01	406
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	406
Number of participants with account balances	2021-01-01	264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: HARRIS & HARRIS LTD 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	524
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	406
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	60
Total of all active and inactive participants	2020-01-01	466
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	466
Number of participants with account balances	2020-01-01	283
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	3
2019: HARRIS & HARRIS LTD 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	516
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	448
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	57
Total of all active and inactive participants	2019-01-01	505
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	505
Number of participants with account balances	2019-01-01	291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	16
2018: HARRIS & HARRIS LTD 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	485
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	407
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	108
Total of all active and inactive participants	2018-01-01	515
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	515
Number of participants with account balances	2018-01-01	299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	23
2017: HARRIS & HARRIS LTD 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	405
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	362
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	100
Total of all active and inactive participants	2017-01-01	462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	462
Number of participants with account balances	2017-01-01	282
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	13
2016: HARRIS & HARRIS LTD 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	385
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	296
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	94
Total of all active and inactive participants	2016-01-01	390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	390
Number of participants with account balances	2016-01-01	255
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: HARRIS & HARRIS LTD 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	313
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	296
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	80
Total of all active and inactive participants	2015-01-01	376
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	376
Number of participants with account balances	2015-01-01	234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: HARRIS & HARRIS LTD 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	350
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	264
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	264
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	264
Number of participants with account balances	2014-01-01	207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	95
2013: HARRIS & HARRIS LTD 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	332
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	288
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	62
Total of all active and inactive participants	2013-01-01	350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	350
Number of participants with account balances	2013-01-01	205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	106
2012: HARRIS & HARRIS LTD 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	261
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	263
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	51
Total of all active and inactive participants	2012-01-01	314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	315
Number of participants with account balances	2012-01-01	169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	68
2011: HARRIS & HARRIS LTD 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	209
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	218
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	29
Total of all active and inactive participants	2011-01-01	247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	247
Number of participants with account balances	2011-01-01	134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	63
2009: HARRIS & HARRIS LTD 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	244
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	220
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	12
Total of all active and inactive participants	2009-01-01	232
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	234
Number of participants with account balances	2009-01-01	77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on HARRIS & HARRIS LTD 401(K) PLAN

Measure	Date	Value
2022 : HARRIS & HARRIS LTD 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total transfer of assets to this plan	2022-12-31	$0
Total transfer of assets from this plan	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-581,120
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$2,330,388
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$2,263,394
Expenses. Certain deemed distributions of participant loans	2022-12-31	$24,703
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,550,110
Value of total assets at end of year	2022-12-31	$10,663,511
Value of total assets at beginning of year	2022-12-31	$13,575,019
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$42,291
Total interest from all sources	2022-12-31	$25,052
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$476,730
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$476,730
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,031,098
Participant contributions at end of year	2022-12-31	$452,459
Participant contributions at beginning of year	2022-12-31	$492,395
Participant contributions at end of year	2022-12-31	$28,923
Other income not declared elsewhere	2022-12-31	$157
Administrative expenses (other) incurred	2022-12-31	$42,291
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-2,911,508
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$10,663,511
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$13,575,019
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$9,391,976
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$12,299,827
Interest on participant loans	2022-12-31	$25,052
Value of interest in common/collective trusts at end of year	2022-12-31	$775,040
Value of interest in common/collective trusts at beginning of year	2022-12-31	$782,797
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-2,650,956
Net investment gain or loss from common/collective trusts	2022-12-31	$17,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$519,012
Employer contributions (assets) at end of year	2022-12-31	$15,113
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$2,263,394
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	MILLER COOPER
Accountancy firm EIN	2022-12-31	362897372
2021 : HARRIS & HARRIS LTD 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total transfer of assets to this plan	2021-12-31	$0
Total transfer of assets from this plan	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$33,062
Total income from all sources (including contributions)	2021-12-31	$3,036,556
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$809,815
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$737,826
Expenses. Certain deemed distributions of participant loans	2021-12-31	$33,064
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,441,140
Value of total assets at end of year	2021-12-31	$13,575,019
Value of total assets at beginning of year	2021-12-31	$11,381,340
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$38,925
Total interest from all sources	2021-12-31	$35,629
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$1,201,251
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$1,201,251
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$952,167
Participant contributions at end of year	2021-12-31	$492,395
Participant contributions at beginning of year	2021-12-31	$521,082
Participant contributions at beginning of year	2021-12-31	$22,695
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$33,062
Other income not declared elsewhere	2021-12-31	$49
Administrative expenses (other) incurred	2021-12-31	$38,925
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$2,226,741
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$13,575,019
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$11,348,278
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$12,299,827
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$9,670,513
Interest on participant loans	2021-12-31	$35,629
Value of interest in common/collective trusts at end of year	2021-12-31	$782,797
Value of interest in common/collective trusts at beginning of year	2021-12-31	$1,167,050
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$344,899
Net investment gain or loss from common/collective trusts	2021-12-31	$13,588
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$488,973
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$737,826
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	MILLER COOPER
Accountancy firm EIN	2021-12-31	362897372
2020 : HARRIS & HARRIS LTD 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets to this plan	2020-12-31	$0
Total transfer of assets from this plan	2020-12-31	$371,999
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$33,062
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,558
Total income from all sources (including contributions)	2020-12-31	$2,316,250
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$758,915
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$670,408
Expenses. Certain deemed distributions of participant loans	2020-12-31	$45,190
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,062,084
Value of total assets at end of year	2020-12-31	$11,381,340
Value of total assets at beginning of year	2020-12-31	$10,164,500
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$43,317
Total interest from all sources	2020-12-31	$28,118
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$272,458
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$272,458
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$803,926
Participant contributions at end of year	2020-12-31	$521,082
Participant contributions at beginning of year	2020-12-31	$562,236
Participant contributions at end of year	2020-12-31	$22,695
Participant contributions at beginning of year	2020-12-31	$3,368
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$77,875
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$33,062
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$1,558
Other income not declared elsewhere	2020-12-31	$907
Administrative expenses (other) incurred	2020-12-31	$43,317
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,557,335
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$11,348,278
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$10,162,942
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$9,670,513
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$9,069,493
Interest on participant loans	2020-12-31	$28,118
Value of interest in common/collective trusts at end of year	2020-12-31	$1,167,050
Value of interest in common/collective trusts at beginning of year	2020-12-31	$528,243
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$931,221
Net investment gain or loss from common/collective trusts	2020-12-31	$21,462
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$180,283
Employer contributions (assets) at beginning of year	2020-12-31	$1,160
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$670,408
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	MILLER COOPER
Accountancy firm EIN	2020-12-31	362897372
2019 : HARRIS & HARRIS LTD 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets to this plan	2019-12-31	$0
Total transfer of assets from this plan	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$1,558
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$55,925
Total income from all sources (including contributions)	2019-12-31	$3,265,875
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$390,940
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$346,011
Expenses. Certain deemed distributions of participant loans	2019-12-31	$2,640
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,461,222
Value of total assets at end of year	2019-12-31	$10,164,500
Value of total assets at beginning of year	2019-12-31	$7,343,932
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$42,289
Total interest from all sources	2019-12-31	$25,018
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$318,379
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$318,379
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$911,563
Participant contributions at end of year	2019-12-31	$562,236
Participant contributions at beginning of year	2019-12-31	$401,688
Participant contributions at end of year	2019-12-31	$3,368
Participant contributions at beginning of year	2019-12-31	$3,368
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$49,626
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$1,558
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$55,925
Other income not declared elsewhere	2019-12-31	$30,506
Administrative expenses (other) incurred	2019-12-31	$42,289
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$2,874,935
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$10,162,942
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$7,288,007
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$9,069,493
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$6,894,285
Interest on participant loans	2019-12-31	$25,018
Value of interest in common/collective trusts at end of year	2019-12-31	$528,243
Value of interest in common/collective trusts at beginning of year	2019-12-31	$43,744
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,421,946
Net investment gain or loss from common/collective trusts	2019-12-31	$8,804
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$500,033
Employer contributions (assets) at end of year	2019-12-31	$1,160
Employer contributions (assets) at beginning of year	2019-12-31	$847
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$346,011
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	MILLER COOPER
Accountancy firm EIN	2019-12-31	362897372
2018 : HARRIS & HARRIS LTD 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$55,925
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$38,831
Total income from all sources (including contributions)	2018-12-31	$416,779
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$679,395
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$650,204
Expenses. Certain deemed distributions of participant loans	2018-12-31	$9,764
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,016,339
Value of total assets at end of year	2018-12-31	$7,343,932
Value of total assets at beginning of year	2018-12-31	$7,589,454
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$19,427
Total interest from all sources	2018-12-31	$17,629
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$441,898
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$441,898
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$753,357
Participant contributions at end of year	2018-12-31	$401,688
Participant contributions at beginning of year	2018-12-31	$325,023
Participant contributions at end of year	2018-12-31	$3,368
Participant contributions at beginning of year	2018-12-31	$4,000
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$14,095
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$55,925
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$38,831
Administrative expenses (other) incurred	2018-12-31	$19,427
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-262,616
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$7,288,007
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,550,623
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$6,894,285
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$7,197,266
Interest on participant loans	2018-12-31	$17,629
Value of interest in common/collective trusts at end of year	2018-12-31	$43,744
Value of interest in common/collective trusts at beginning of year	2018-12-31	$62,165
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,060,160
Net investment gain or loss from common/collective trusts	2018-12-31	$1,073
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$248,887
Employer contributions (assets) at end of year	2018-12-31	$847
Employer contributions (assets) at beginning of year	2018-12-31	$1,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$650,204
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	MILLER COOPER & CO., LTD
Accountancy firm EIN	2018-12-31	362897372
2017 : HARRIS & HARRIS LTD 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$38,831
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$2,193,247
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$758,052
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$737,135
Expenses. Certain deemed distributions of participant loans	2017-12-31	$2,895
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,055,723
Value of total assets at end of year	2017-12-31	$7,589,454
Value of total assets at beginning of year	2017-12-31	$6,115,428
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$18,022
Total interest from all sources	2017-12-31	$13,554
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$306,082
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$306,082
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$721,411
Participant contributions at end of year	2017-12-31	$325,023
Participant contributions at beginning of year	2017-12-31	$370,023
Participant contributions at end of year	2017-12-31	$4,000
Participant contributions at beginning of year	2017-12-31	$4,000
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$2,755
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$38,831
Administrative expenses (other) incurred	2017-12-31	$18,022
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,435,195
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$7,550,623
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$6,115,428
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$7,197,266
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$5,691,192
Interest on participant loans	2017-12-31	$13,554
Value of interest in common/collective trusts at end of year	2017-12-31	$62,165
Value of interest in common/collective trusts at beginning of year	2017-12-31	$48,880
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$815,645
Net investment gain or loss from common/collective trusts	2017-12-31	$2,243
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$331,557
Employer contributions (assets) at end of year	2017-12-31	$1,000
Employer contributions (assets) at beginning of year	2017-12-31	$1,333
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$737,135
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	MILLER COOPER
Accountancy firm EIN	2017-12-31	362897372
2016 : HARRIS & HARRIS LTD 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,436,781
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$250,306
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$222,720
Expenses. Certain deemed distributions of participant loans	2016-12-31	$10,627
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,030,839
Value of total assets at end of year	2016-12-31	$6,115,428
Value of total assets at beginning of year	2016-12-31	$4,928,953
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$16,959
Total interest from all sources	2016-12-31	$15,249
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$184,478
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$184,478
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$493,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$664,707
Participant contributions at end of year	2016-12-31	$370,023
Participant contributions at beginning of year	2016-12-31	$363,477
Participant contributions at end of year	2016-12-31	$4,000
Participant contributions at beginning of year	2016-12-31	$4,000
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$8,558
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$16,959
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,186,475
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$6,115,428
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$4,928,953
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$5,691,192
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$4,551,019
Interest on participant loans	2016-12-31	$15,249
Value of interest in common/collective trusts at end of year	2016-12-31	$48,880
Value of interest in common/collective trusts at beginning of year	2016-12-31	$9,124
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$205,980
Net investment gain or loss from common/collective trusts	2016-12-31	$235
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$357,574
Employer contributions (assets) at end of year	2016-12-31	$1,333
Employer contributions (assets) at beginning of year	2016-12-31	$1,333
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$222,720
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	MILLER COOPER
Accountancy firm EIN	2016-12-31	362897372
2015 : HARRIS & HARRIS LTD 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$869,641
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$898,721
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$873,938
Expenses. Certain deemed distributions of participant loans	2015-12-31	$9,144
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$904,089
Value of total assets at end of year	2015-12-31	$4,928,953
Value of total assets at beginning of year	2015-12-31	$4,958,033
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$15,639
Total interest from all sources	2015-12-31	$12,692
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$195,108
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$195,108
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$496,000
If this is an individual account plan, was there a blackout period	2015-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$584,088
Participant contributions at end of year	2015-12-31	$363,477
Participant contributions at beginning of year	2015-12-31	$251,869
Participant contributions at end of year	2015-12-31	$4,000
Participant contributions at beginning of year	2015-12-31	$15,064
Other income not declared elsewhere	2015-12-31	$860
Administrative expenses (other) incurred	2015-12-31	$15,639
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-29,080
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$4,928,953
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$4,958,033
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$4,551,019
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$4,450,152
Interest on participant loans	2015-12-31	$12,692
Value of interest in common/collective trusts at end of year	2015-12-31	$9,124
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$232,323
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-243,213
Net investment gain or loss from common/collective trusts	2015-12-31	$105
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$320,001
Employer contributions (assets) at end of year	2015-12-31	$1,333
Employer contributions (assets) at beginning of year	2015-12-31	$8,625
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$873,938
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	Yes
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	MILLER, COOPER & CO., LTD
Accountancy firm EIN	2015-12-31	362897372
2014 : HARRIS & HARRIS LTD 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$0
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$1,015,052
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$251,462
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$246,472
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$788,590
Value of total assets at end of year	2014-12-31	$4,958,033
Value of total assets at beginning of year	2014-12-31	$4,194,443
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$4,990
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$13,524
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$163,372
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$163,372
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	No
If this is an individual account plan, was there a blackout period	2014-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$437,275
Participant contributions at end of year	2014-12-31	$251,869
Participant contributions at beginning of year	2014-12-31	$197,637
Participant contributions at end of year	2014-12-31	$15,064
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$73,611
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$0
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$763,590
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$4,958,033
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$4,194,443
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$4,450,152
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$3,556,591
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$8,484
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$5,040
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$232,323
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$440,215
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$49,566
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$277,704
Employer contributions (assets) at end of year	2014-12-31	$8,625
Employer contributions (assets) at beginning of year	2014-12-31	$0
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$246,472
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$4,990
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MILLER COOPER
Accountancy firm EIN	2014-12-31	362897372
2013 : HARRIS & HARRIS LTD 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$1,316,365
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$190,660
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$153,101
Expenses. Certain deemed distributions of participant loans	2013-12-31	$16,753
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$679,643
Value of total assets at end of year	2013-12-31	$4,194,443
Value of total assets at beginning of year	2013-12-31	$3,068,738
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$20,806
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$8,853
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$129,698
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$129,698
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$410,142
Participant contributions at end of year	2013-12-31	$197,637
Participant contributions at beginning of year	2013-12-31	$107,207
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$7,267
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$0
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$1,125,705
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$4,194,443
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$3,068,738
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$3,556,591
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$2,846,174
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$5,988
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$2,865
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$440,215
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$100,611
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$498,171
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$262,234
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$14,746
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$153,101
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$20,806
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MILLER, COOPER AND CO., LTD.
Accountancy firm EIN	2013-12-31	362897372
2012 : HARRIS & HARRIS LTD 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$0
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Expenses. Interest paid	2012-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$927,280
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$362,053
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$322,118
Expenses. Certain deemed distributions of participant loans	2012-12-31	$37,872
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$578,313
Value of total assets at end of year	2012-12-31	$3,068,738
Value of total assets at beginning of year	2012-12-31	$2,503,511
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$2,063
Total income from rents	2012-12-31	$0
Total interest from all sources	2012-12-31	$6,618
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$68,061
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$68,061
Assets. Real estate other than employer real property at end of year	2012-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2012-12-31	$0
Administrative expenses professional fees incurred	2012-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$347,135
Participant contributions at end of year	2012-12-31	$107,207
Participant contributions at beginning of year	2012-12-31	$117,193
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$12,308
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Assets. Loans (other than to participants) at end of year	2012-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$0
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$0
Liabilities. Value of operating payables at end of year	2012-12-31	$0
Liabilities. Value of operating payables at beginning of year	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Income. Non cash contributions	2012-12-31	$0
Value of net income/loss	2012-12-31	$565,227
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$3,068,738
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$2,503,511
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Assets. partnership/joint venture interests at end of year	2012-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2012-12-31	$0
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$2,846,174
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$2,136,740
Value of interest in pooled separate accounts at end of year	2012-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$0
Interest on participant loans	2012-12-31	$4,945
Income. Interest from loans (other than to participants)	2012-12-31	$0
Interest earned on other investments	2012-12-31	$1,673
Income. Interest from US Government securities	2012-12-31	$0
Income. Interest from corporate debt instruments	2012-12-31	$0
Value of interest in master investment trust accounts at end of year	2012-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$0
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Value of interest in common/collective trusts at beginning of year	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2012-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$100,611
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$223,578
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Asset value of US Government securities at end of year	2012-12-31	$0
Asset value of US Government securities at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$274,288
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$0
Net gain/loss from 103.12 investment entities	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$0
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Assets. Value of employer real property at end of year	2012-12-31	$0
Assets. Value of employer real property at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$218,870
Employer contributions (assets) at end of year	2012-12-31	$14,746
Employer contributions (assets) at beginning of year	2012-12-31	$26,000
Income. Dividends from preferred stock	2012-12-31	$0
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$322,118
Asset. Corporate debt instrument preferred debt at end of year	2012-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$0
Contract administrator fees	2012-12-31	$2,063
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2012-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MILLER, COOPER AND CO., LTD.
Accountancy firm EIN	2012-12-31	362897372
2011 : HARRIS & HARRIS LTD 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$0
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Expenses. Interest paid	2011-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$553,822
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$288,091
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$279,511
Expenses. Certain deemed distributions of participant loans	2011-12-31	$0
Value of total corrective distributions	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$631,873
Value of total assets at end of year	2011-12-31	$2,503,511
Value of total assets at beginning of year	2011-12-31	$2,237,780
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$8,580
Total income from rents	2011-12-31	$0
Total interest from all sources	2011-12-31	$7,100
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$68,884
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$68,884
Assets. Real estate other than employer real property at end of year	2011-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2011-12-31	$0
Administrative expenses professional fees incurred	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$275,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$331,541
Participant contributions at end of year	2011-12-31	$117,193
Participant contributions at beginning of year	2011-12-31	$145,237
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$85,876
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Assets. Loans (other than to participants) at end of year	2011-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Other income not declared elsewhere	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$0
Liabilities. Value of operating payables at end of year	2011-12-31	$0
Liabilities. Value of operating payables at beginning of year	2011-12-31	$0
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$265,731
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$2,503,511
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,237,780
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Assets. partnership/joint venture interests at end of year	2011-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2011-12-31	$0
Investment advisory and management fees	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$2,136,740
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$1,870,861
Value of interest in pooled separate accounts at end of year	2011-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$0
Interest on participant loans	2011-12-31	$6,608
Income. Interest from loans (other than to participants)	2011-12-31	$0
Interest earned on other investments	2011-12-31	$492
Income. Interest from US Government securities	2011-12-31	$0
Income. Interest from corporate debt instruments	2011-12-31	$0
Value of interest in master investment trust accounts at end of year	2011-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$0
Value of interest in common/collective trusts at end of year	2011-12-31	$0
Value of interest in common/collective trusts at beginning of year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$200,682
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$200,682
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2011-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2011-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$223,578
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$0
Asset value of US Government securities at end of year	2011-12-31	$0
Asset value of US Government securities at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-154,035
Net investment gain/loss from pooled separate accounts	2011-12-31	$0
Net investment gain or loss from common/collective trusts	2011-12-31	$0
Net gain/loss from 103.12 investment entities	2011-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$0
Assets. Value of employer real property at end of year	2011-12-31	$0
Assets. Value of employer real property at beginning of year	2011-12-31	$0
Contributions received in cash from employer	2011-12-31	$214,456
Employer contributions (assets) at end of year	2011-12-31	$26,000
Employer contributions (assets) at beginning of year	2011-12-31	$21,000
Income. Dividends from preferred stock	2011-12-31	$0
Income. Dividends from common stock	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$279,511
Asset. Corporate debt instrument preferred debt at end of year	2011-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$0
Contract administrator fees	2011-12-31	$8,580
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2011-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2011-12-31	$0
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2011-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MILLER, COOPER AND CO., LTD.
Accountancy firm EIN	2011-12-31	362897372
2010 : HARRIS & HARRIS LTD 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$675,548
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$349,156
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$341,206
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$431,308
Value of total assets at end of year	2010-12-31	$2,237,780
Value of total assets at beginning of year	2010-12-31	$1,911,388
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$7,950
Total interest from all sources	2010-12-31	$7,106
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$35,997
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$35,997
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$239,712
Participant contributions at end of year	2010-12-31	$145,237
Participant contributions at beginning of year	2010-12-31	$104,388
Participant contributions at beginning of year	2010-12-31	$23,619
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$24,580
Administrative expenses (other) incurred	2010-12-31	$7,950
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$326,392
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,237,780
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,911,388
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$1,870,861
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,455,397
Interest on participant loans	2010-12-31	$7,064
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$200,682
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$312,390
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$312,390
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$42
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$201,137
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$167,016
Employer contributions (assets) at end of year	2010-12-31	$21,000
Employer contributions (assets) at beginning of year	2010-12-31	$15,594
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$341,206
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MILLER, COOPER AND CO., LTD.
Accountancy firm EIN	2010-12-31	362897372
2009 : HARRIS & HARRIS LTD 401(K) PLAN 2009 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2009-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2009-12-31	$0
Total income from all sources (including contributions)	2009-12-31	$739,678
Total of all expenses incurred	2009-12-31	$190,508
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2009-12-31	$157,630
Expenses. Certain deemed distributions of participant loans	2009-12-31	$25,412
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2009-12-31	$407,058
Value of total assets at end of year	2009-12-31	$1,911,388
Value of total assets at beginning of year	2009-12-31	$1,362,218
Total of administrative expenses incurred including professional, contract, advisory and management fees	2009-12-31	$7,466
Total interest from all sources	2009-12-31	$6,209
Total dividends received (eg from common stock, registered investment company shares)	2009-12-31	$26,539
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2009-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2009-12-31	$26,539
Was this plan covered by a fidelity bond	2009-12-31	Yes
Value of fidelity bond cover	2009-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2009-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2009-12-31	No
Contributions received from participants	2009-12-31	$228,771
Participant contributions at end of year	2009-12-31	$104,388
Participant contributions at beginning of year	2009-12-31	$101,251
Participant contributions at end of year	2009-12-31	$23,619
Participant contributions at beginning of year	2009-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2009-12-31	$26,924
Administrative expenses (other) incurred	2009-12-31	$7,466
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2009-12-31	No
Value of net income/loss	2009-12-31	$549,170
Value of net assets at end of year (total assets less liabilities)	2009-12-31	$1,911,388
Value of net assets at beginning of year (total assets less liabilities)	2009-12-31	$1,362,218
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2009-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2009-12-31	No
Were any leases to which the plan was party in default or uncollectible	2009-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2009-12-31	$1,455,397
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2009-12-31	$1,072,553
Interest on participant loans	2009-12-31	$5,107
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2009-12-31	$312,390
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2009-12-31	$188,414
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2009-12-31	$188,414
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2009-12-31	$1,102
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2009-12-31	$299,872
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2009-12-31	No
Was there a failure to transmit to the plan any participant contributions	2009-12-31	No
Has the plan failed to provide any benefit when due under the plan	2009-12-31	No
Contributions received in cash from employer	2009-12-31	$151,363
Employer contributions (assets) at end of year	2009-12-31	$15,594
Employer contributions (assets) at beginning of year	2009-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2009-12-31	$157,630
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2009-12-31	No
Did the plan have assets held for investment	2009-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2009-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2009-12-31	No
Accountancy firm name	2009-12-31	OSTROW REISIN BERK & ABRAMS, LTD
Accountancy firm EIN	2009-12-31	362938874

Form 5500 Responses for HARRIS & HARRIS LTD 401(K) PLAN

2022: HARRIS & HARRIS LTD 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: HARRIS & HARRIS LTD 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: HARRIS & HARRIS LTD 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: HARRIS & HARRIS LTD 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: HARRIS & HARRIS LTD 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: HARRIS & HARRIS LTD 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: HARRIS & HARRIS LTD 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: HARRIS & HARRIS LTD 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: HARRIS & HARRIS LTD 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: HARRIS & HARRIS LTD 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: HARRIS & HARRIS LTD 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: HARRIS & HARRIS LTD 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: HARRIS & HARRIS LTD 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

333256-01

Policy instance

Insurance contract or identification number	333256-01
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-01-01
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

333256-01

Policy instance

Insurance contract or identification number	333256-01
Number of Individuals Covered	1
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

333256-01

Policy instance

Insurance contract or identification number	333256-01
Number of Individuals Covered	11
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

333256-01

Policy instance

Insurance contract or identification number	333256-01
Number of Individuals Covered	14
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

333256-01

Policy instance

Insurance contract or identification number	333256-01
Number of Individuals Covered	14
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	HARRIS & HARRIS, LTD.
Employer identification number (EIN):	362650423
NAIC Classification:	561440
NAIC Description:	Collection Agencies