UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | Â (1) | 01/04/2010 | 2002 Stock Option Plan | 40,000 (2) | $ 2.2 | D | Â |
Stock Option | Â (1) | 11/13/2010 | 2002 Stock Option Plan | 350,000 (2) | $ 0.6 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Morgan Dwight C/O CAPRIUS, INC. ONE UNIVERSITY PLAZA, SUITE 400 HACKENSACK, NJ 07601 |
 |  |  President & CEO |  |
/s/ Dwight Morgan | 11/17/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 1/8 vested after 6 months, then vested 1/48 a month for the next 42 months granted under the 2002 Stock Option Plan, of which 206,050 shares are subject to stockholder approval of an increase in the number of shares of common stock underlying the Plan. |
(2) | Under the 2002 Stock Option Plan, reporting person holds option for purchase of 390,000 shares. |