People: Harris and Harris Group Inc (TINY.W)

Summary

Name	Age	Since	Current Position
Douglas Jamison	42	2009	Chairman of the Board, Chief Executive Officer, Managing Director
Daniel Wolfe	35	2013	President, Chief Operating Officer, Managing Director
Patricia Egan	37	2013	Chief Financial Officer, Treasurer
Alexei Andreev		2005	Executive Vice President, Managing Director
Misti Ushio	40	2011	Executive Vice President, Managing Director
Rob Burns	41	2012	Senior Vice President
Sandra Forman	46	2009	Chief Compliance Officer, General Counsel, Director - Human Resources, Corporate Secretary
Mary Brady	50	2008	Vice President, Controller
James Roberts	66	2011	Lead Independent Director
W. Dillaway Ayres	61	2006	Independent Director
Phillip Bauman	56	1998	Independent Director
Lucio Lanza	67	2010	Independent Director
Charles Ramsey	69	2002	Independent Director
Richard Shanley	64	2007	Independent Director
Bruce Shewmaker	67	2011	Independent Director

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Biographies

Name	Description
Douglas Jamison	Mr. Douglas W. Jamison serves as Chairman of the board, Chief Executive Officer and Managing Director of Harris & Harris Group Inc., since January 1, 2009. Mr. Jamison served as President and Chief Operating Officer from January 2005 through December 2008, as Treasurer from March 2005 to May 2008, as a Managing Director since January 2004, as Chief Financial Officer from January 2005 through December 2007 and as Vice President from September 2002 through December 2004. He has been a member of Board of Directors since May 2007. Since January 2009, he has served as Chairman and Chief Executive Officer of H&H Ventures Management, Inc., (formerly named Harris & Harris Enterprises, Inc.), a wholly owned subsidiary of the Company; since January 2005, he has served as a Director; and from January 2005 to December 2008 he served as President. Mr. Jamison is a director of HzO, Inc. He is a board observer of ABS Materials, Inc., Ancora Pharmaceuticals, Inc., Produced Water Absorbents, Inc. and Metabolon, Inc. He is Co-Editor-in-Chief of “Nanotechnology Law & Business.” He is Co-Chair of the Advisory Board, Converging Technology Bar Association and a member of the University of Pennsylvania Nano-Bio Interface Ethics Advisory. From 1997 to 2002, he worked as a senior technology manager at the University of Utah Technology Transfer Office, where he managed intellectual property in physics, chemistry and the engineering sciences. He was graduated from Dartmouth College (B.A.) and the University of Utah (M.S.).
Daniel Wolfe	Mr. Daniel B. Wolfe is the President, Chief Operating Officer, Managing Director of Harris & Harris Group Inc., effective from January 1, 2013. He is no longer Chief Financial Officer and Treasurer of the company effective January 1, 2013. He has served as President and Chief Operating Officer since January 2009, as Chief Financial Officer and as a Managing Director since January 2008 and as Treasurer since May 2008. He served as Principal from January 2007 to January 2008, as Senior Associate from January 2006 to January 2007, and as Vice President from July 2004 to January 2008. Since January 2009, he has served as President, Chief Operating Officer and Chief Financial Officer of H&H Ventures Management, Inc. (formerly Harris & Harris Enterprises, Inc.), a wholly owned subsidiary of the Company; and since October 2008, he has served as a Director. He is a Director of Enumeral Biomedical Corp., Laser Light Engines, Inc. and SiOnyx, Inc., privately held companies in which company have investments. He is a board observer of Nextreme Thermal Solutions, Inc., a privately held company in which company have an investment. Prior to joining the company, he served as a consultant to Nanosys, Inc. (from 2002 to 2004), to CW Group (from 2001 to 2004) and to Bioscale, Inc. (from January 2004 to June 2004). He was graduated from Rice University (B.A., Chemistry), where his honors included the Zevi and Bertha Salsburg Memorial Award in Chemistry and the Presidential Honor Roll, and from Harvard University (A.M., Ph.D., Chemistry), where he was a NSF Predoctoral Fellow. At the company's request, Mr. Wolfe was interim Chief Executive Officer of Evolved Nanomaterial Sciences, Inc. (“ENS”), one of company's portfolio companies, from July 1, 2007, to September 28, 2007.
Patricia Egan	Ms. Patricia N. Egan has been appointed as the Chief Financial Officer, Treasurer of Harris & Harris Group Inc., effective January 1, 2013. She is no longer Vice President, Chief Accounting Officer and Senior Controller, effective January 1, 2013. From June 2005 to December 2005, from August 2006 to March 2008 and from May 2008 to December 31, 2008, she served as an Assistant Secretary. From January 2006 to January 2012, she served as Treasurer and as Secretary of H&H Ventures Management, Inc. (formerly Harris & Harris Enterprises, Inc.), a wholly owned subsidiary of the Company. Since January 2012, she has served as Chief Accounting Officer, as a Vice President and as Senior Controller of H&H Ventures Management, Inc. From 1996 to 2005, she was employed by PwC, most recently as a Manager in its financial services group. She was graduated from Georgetown University (B.S., Accounting), where her honors included the Othmar F. Winkler Award for Excellence in Community Service. She is a Certified Public Accountant.
Alexei Andreev	Mr. Alexei A. Andreev serves as Executive Vice President and Managing Director of Harris & Harris Group Inc., since March 10, 2005. From 2002 to March 2005, he was an Associate with Draper Fisher Jurvetson, a venture capital firm. He is a Director of Adesto Technologies, Corporation, D-Wave Systems, Inc. and Xradia, Inc., privately held companies in which company have an investment. He is a board observer of BridgeLux, Inc., Contour Energy Systems, Inc., Cambrios Technology Corporation, Kovio, Inc., Molecular Imprints, Inc., and Ultora, Inc., privately held companies in which company have investments. He was graduated with honors in Engineering/Material Sciences (B.S.), in Solid State Physics (Ph.D.) from Moscow Steel and Alloys Institute and from Stanford Graduate School of Business (M.B.A.).
Misti Ushio	Ms. Misti Ushio, Ph.D., is Executive Vice President, Managing Director of Harris & Harris Group Inc. She served as Principal from January 2010 to May 2011, as a Vice President from May 2007 to May 2011, and as Associate from May 2007 to December 2009. From June 2006 to May 2007, Ms. Ushio was a Technology Licensing Officer at Columbia University. From May 1996 to May 2006, she was employed by Merck & Co., Inc., most recently as a Senior Research Biochemical Engineer with the Bioprocess R&D group. She is a member of the Nanotechnology Institute Corporate Advisory Group of Philadelphia, Pennsylvania. She is a Director of Ancora Pharmaceuticals, Inc., a privately held company in which company have an investment. She is a board observer of Ensemble Therapeutics Corporation, Mersana Therapeutics, Inc., Metabolon, Inc. and Senova Systems, Inc., privately held companies in which company have investments. She is also a board observer of Champions Oncology, Inc., a publicly traded company in which company have an investment. She was graduated from Johns Hopkins University (B.S., Chemical Engineering), Lehigh University (M.S., Chemical Engineering) and University College London (Ph.D., Biochemical Engineering).
Rob Burns	Mr. Rob Burns is Senior Vice President of Harris & Harris Group Inc., since March 19, 2012. From October 2004 to March 2012, he was a Senior Vice President of Lux Research, a firm that performs technology scouting and market assessments in emerging technology. He is a Director at The North Carolina Center of Innovation in Nanobiotechnology. In 2011, he was selected as one of seven executives to receive an Eisenhower Fellowship. In addition, he sits on the NC Governor’s China Advisory Board. He was graduated in Economics (B.A.), from The University of Maryland- College Park and in International Business (M.B.A.) from The George Washington University.
Sandra Forman	Ms. Sandra Matrick Forman, Esq., serves as Chief Compliance Officer, General Counsel, Director - Human Resources, Corporate Secretary of Harris & Harris Group Inc. She has served as General Counsel, as Chief Compliance Officer and as Director of Human Resources since August 2004, and as Corporate Secretary since January 1, 2009. Since January 2012, she has served as General Counsel, Chief Compliance Officer and Corporate Secretary of H&H Ventures Management, Inc. (formerly Harris & Harris Enterprises, Inc.), a wholly owned subsidiary of the Company. Prior to joining the company, she was an Associate at Skadden, Arps, Slate, Meagher & Flom LLP in the Investment Management Group. She was graduated from New York University (B.A.), where her honors included National Journalism Honor Society, and from the University of California Los Angeles (J.D.), where her honors included Order of the Coif and membership on the Law Review.
Mary Brady	Ms. Mary P. Brady serves as Vice President and Controller of Harris & Harris Group Inc., since November 2005. From November 2005 to March, 2008, she served as an Assistant Secretary. Since January 2012, she has served as Vice President and Controller of H&H Ventures Management, Inc. (formerly Harris & Harris Enterprises, Inc.), a wholly owned subsidiary of the Company. From 2003 through 2005, she served as a senior accountant at Clarendon Insurance Company in its program accounting group. Prior to that, she was a Senior Associate at PwC in its financial services group. She was graduated Summa Cum Laude from Lehman College (B.S., Accounting). She is a Certified Public Accountant.
James Roberts	Mr. James E. Roberts serves as Lead Independent Director of Harris & Harris Group Inc., since May 5, 2011. Since June 1995, he has served as a member of Board of Directors. Since May 2011, he has been Senior Vice President – Corporate Underwriting and from October 2009 to May 2011, he was Managing Vice President Corporate Underwriting with Tower Group, Inc. Prior to joining Tower Group, Mr. Roberts was employed by AequiCap Group from January 2006 to October 2009, serving as President of AequiCap Insurance Company from January 2006 to October 2009, and as President of AequiCap Program Administrators from September 2007 to October 2009. He was graduated from Cornell University (A.B.).
W. Dillaway Ayres	Mr. W. Dillaway Ayres, Jr., serves as Independent Director of Harris & Harris Group Inc., since November 2006. He has served as the Chief Operating Officer of Cold Spring Harbor Laboratory, a research and educational institution in the biological sciences, since November 2000. Prior to joining Cold Spring Harbor Laboratory in 1998, Mr. Ayres had a 20-year business career during which he worked as a corporate executive at Union Carbide, American Express and American Broadcasting Corporation. He has also co-founded a venture capital-backed internet company and worked for five years in investment banking and private equity at Veronis Suhler & Associates in New York where he was a Managing Director. He was graduated from Princeton University (A.B., English) and from the Columbia University Graduate School of Business (M.B.A., Finance).
Phillip Bauman	Dr. Phillip A. Bauman serves as Independent Director of Harris & Harris Group Inc., since February 1998. Since 1999, he has been Senior Attending of Orthopaedic Surgery at St. Luke's/Roosevelt Hospital Center in Manhattan, and since 2000, he has served as an elected member of the Executive Committee of the Medical Board of St. Luke's/Roosevelt Hospital. He is a founding member and has been on the Board of Managers for the Hudson Crossing Surgery Center since 2005. Since 1997, he has been Assistant Professor of Orthopaedic Surgery at Columbia University. Since 1994, he has been Vice President of Orthopaedic Associates of New York. He has consulted for Skyline Venture Partners, a venture capital firm specializing in healthcare companies. He is an active member of the American Academy of Orthopaedic Surgeons, the American Orthopaedic Society for Sports Medicine, the American Orthopaedic Foot and Ankle Society, the New York State Society of Orthopaedic Surgeons, the New York State Medical Society and the American Medical Association. He was graduated from Harvard College (A.B.), Harvard University (A.M., Biology) and the College of Physicians and Surgeons at Columbia University (M.D.).
Lucio Lanza	Mr. Lucio L. Lanza, Ph.D., is Independent Director of Harris & Harris Group Inc., since August 5, 2010. He is the Managing Director of Lanza techVentures, an early-stage venture capital and investment firm, which he founded in January 2001. Since 2008, he has been a General Partner and the Chief Technology Strategist of Radnorwood Capital, LLC, an investor in public technology companies. Previously, he was a General Partner of US Venture Partners, a venture capital firm. Throughout his career, he has held senior level and strategic positions at Cadence Design Systems, Inc., EDA Systems, Inc., Daisy Systems, Corp., Intel Corp., Olivetti Corporation and as a non-executive director of ARM Holdings plc. He is Chairman and a Director of PDF Solutions, a public company in the semiconductor yield management business, and a Director of several privately held companies: Extreme DA, Forte DS, Critical Blue, Gradient DA, Jasper DA, ChipPath Design Systems and Sigmatix, Inc. He was graduated from Politecnico of Milano with a doctorate in electronic engineering.
Charles Ramsey	Mr. Charles E. Ramsey serves as Independent Director of Harris & Harris Group Inc., since October 17, 2002. Since 1997, he has been a consultant in the area of human resources and venture capital. He is a retired founder and principal of Ramsey/Beirne Associates, Inc., an executive search firm that specialized in recruiting top officers for high technology companies, many of which were backed by venture capital. He is a member of the board of directors and Chairman Emeritus of Bridges to Community, a non-governmental organization dedicated to construction projects in Nicaragua. As Chairman Emeritus, he serves on the Executive, Personnel and Administration and Fund Development Committees. He was graduated from Wittenberg University (B.A.).
Richard Shanley	Mr. Richard P. Shanley, CPA, serves as Independent Director of Harris & Harris Group Inc., since March 12, 2007. From February 2001 to December 31, 2006, he was a partner of Deloitte & Touche LLP. During his over 30 years of public accounting experience, he served as lead audit partner on numerous audit engagements for public and private companies and companies making public stock offerings. He served as lead audit partner primarily for biotechnology, pharmaceutical and high-tech companies, including companies enabled by nanotechnology. He has been actively involved on the Biotech Council of New Jersey, the New Jersey Technology Council, the New York Biotechnology Association, the Connecticut Venture Group, the Biotechnology Industry Organization and the NanoBusiness Alliance. He is Chairman of the board of directors of Redpoint Bio Corporation, a publicly held biotechnology company. He is an active member of the New York State Society of Certified Public Accountants and the American Institute of Certified Public Accountants. He is a licensed Certified Public Accountant in New York. He was graduated from Fordham University (B.S.) and Long Island University (M.B.A. in Accounting).
Bruce Shewmaker	Mr. Bruce W. Shewmaker is Independent Director of Harris & Harris Group Inc., since August 1, 2011. Since November 2003, Mr. Shewmaker has been a Managing Director of MVC Capital, Inc., a publicly traded business development company listed on the NYSE (“MVC”) and a Senior Managing Director of The Tokarz Group Advisers, a registered investment adviser that advises MVC Capital. Prior to joining MVC, he co-founded and served as an adviser to CrossBow Ventures. Previously, he was a Managing Director of E*Offering Corp., an investment banking firm that was later merged into WIT Sound View Group, from 1999 to 2001. From 1997 to 1998, Mr. Shewmaker served as President and Director of The US Russia Investment Fund, with committed capital of $440 million, where he managed a staff of 60 people, including eight private equity professionals, in seven offices across the Russian Federation. Throughout his career, he has held senior level and strategic positions at New Century Management, Vector Venture Partners Group, Merrill Lynch R&D Management, Inc., Merrill Lynch Oklahoma Venture Partners, L.P. and Merrill Lynch Venture Capital, Inc. He is a Director of several privately held companies: Foliofn, Inc., Velocitius B.V., Garrison Capital LLC and Vestal Manufacturing Enterprises, Inc. and on the Board of Managers of MVC Partners, LLC, a wholly-owned portfolio company of MVC Capital. He was graduated from the Ohio State University (B.S.) and has completed graduate work in Management Studies at New York University’s Leonard N. Stern School of Business.

Basic Compensation

Name	Fiscal Year Total
Douglas Jamison	443,631
Daniel Wolfe	438,612
Patricia Egan	--
Alexei Andreev	433,500
Misti Ushio	406,641
Rob Burns	--
Sandra Forman	383,656
Mary Brady	--
James Roberts	--
W. Dillaway Ayres	--
Phillip Bauman	--
Lucio Lanza	--
Charles Ramsey	--
Richard Shanley	--
Bruce Shewmaker	--

As Of 30 Dec 2011

Options Compensation

Name	Options	Value
Douglas Jamison	1,600	2,080
Daniel Wolfe	51,425	135,552
Patricia Egan	0	0
Alexei Andreev	42,662	51,493
Misti Ushio	0	0
Rob Burns	0	0
Sandra Forman	27,225	75,324
Mary Brady	0	0
James Roberts	0	0
W. Dillaway Ayres	0	0
Phillip Bauman	0	0
Lucio Lanza	0	0
Charles Ramsey	0	0
Richard Shanley	0	0
Bruce Shewmaker	0	0

Insider Trading

Name	Shares Traded	Price
JAMISON DOUGLAS W	783	$3.23
JAMISON DOUGLAS W	100	$3.23
JAMISON DOUGLAS W	1,117	$3.23
SHEWMAKER BRUCE W	27	$3.28
RAMSEY CHARLES E	4,100	$3.27
SHEWMAKER BRUCE W	1,800	$3.24
BAUMAN PHILLIP A	1,800	$3.27
AYRES W DILLAWAY JR	1,700	$3.29
ROBERTS JAMES E	1,500	$3.28
LANZA LUCIO L	2,485	$3.22
LANZA LUCIO L	2,415	$3.22
SHANLEY RICHARD P	2,300	$3.28
LANZA LUCIO L	2,000	$3.29
JAMISON DOUGLAS W	1,500	$3.23
JAMISON DOUGLAS W	1,500	$3.19
AYRES W DILLAWAY JR	2,000	$0.00
SHEWMAKER BRUCE W	2,000	$0.00
RAMSEY CHARLES E	2,000	$0.00
BAUMAN PHILLIP A	2,000	$0.00
SHANLEY RICHARD P	2,000	$0.00
LANZA LUCIO L	2,000	$0.00
USHIO MISTI	450	$3.25
JAMISON DOUGLAS W	730	$3.27
WOLFE DANIEL BRANDON	450	$3.25
LANZA LUCIO L	2,600	$3.60

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People: Harris and Harris Group Inc (TINY.W)

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Summary

Biographies

Basic Compensation

Options Compensation

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