4 1 joelsform4.txt FORM 4 - JONATHAN JOELS
-------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------ FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL -------------------------------- ------------------------------ |_| CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO SECTION EXPIRES: JANUARY 31, 2005 16. FORM 4 OR FORM 5 Filed pursuant to Section 16(a) of the ESTIMATED AVERAGE BURDEN OBLIGATIONS MAY CONTINUE. Securities Exchange Act of 1934, Section 17(a) HOURS PER RESPONSE.........0.5 SEE INSTRUCTION 1(B). of the Public Utility Holding Company Act ------------------------------ of 1935 or Section 30(h) of the Investment Company Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Caprius, Inc. (CAPR) X Director X 10% Owner --- --- X Officer (give title Other (specify --- below) --- below) Joels Johathan Treasurer, CFO & Secretary --------------------------- ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. IRS Identification 4. Statement for Number of Reporting Month/Day/Year Person, if an entity (Voluntary) One Parker Plaza October 8, 2002 ------------------------------------------------------------------------------------------------------------------------------------ (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Day/Year) X Form filed by One Reporting Person --- Form filed by More than One Fort Lee New Jersey 07024 --- Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) ------------------------------------------------------------------------------------------------------------------------------------
TABLE 1-- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security 2. Transaction 2A. Deemed 3. Trans- 4. Securities Acquired 5. Amount of (Instr. 3) Date Execution action (A) or Disposed of (D) Securities Date, if Code (Instr. 3, 4, and 5) Beneficially any (Instr. 8) Owned ------------------------------------------- Following (Month/ (Month/ Reported Day/ Day/ Transaction(s) Year) Year) (A) or (Instr. 3 and 4) Code V Amount (D) Price --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- ----------------------------------- 6. Ownership 7. Nature of Form: Indirect Direct (D) Beneficial or Indirect (I) Ownership (Instr. 4) (Instr. 4) ----------------------------------- ----------------------------------- ----------------------------------- ----------------------------------- ----------------------------------- ----------------------------------- ----------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM (Over) ARE NOT REQUIED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1474 (9-02)
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Conversion 3. Transaction 3A. Deemed 4. Transaction 5. Number of 6. Date (Instr. 3) or Date Execution Code Derivative Exercisable Exercise Date, if (Instr. 8) Securities and Price of (Month/Day/ any Acquired (A) Expiration Derivative Year) or Disposed Date Security (Month/ of (D) (Month/Day/Year) Day/ (Instr. 3, Year) 4 and 5) ------------------------------------------------------------------------------------------------------------------------------------ Date Expira- Code V (A) (D) Exer- tion cisable Date ------------------------------------------------------------------------------------------------------------------------------------ Common stock, par value $0.01 $0.15 10/08/02 P A 10/08/02* 10/08/12 ------------------------------------------------------------------------------------------------------------------------------------ Warrants $0.09 06/07/02 P A 06/07/02 09/30/07 ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------- 7. Title and Amount of 8. Price of 9. Number of 10. Ownership 11. Nature of Underlying Securities Derivative Derivative Form of Indirect (Instr. 3 and 4) Security Securities Derivative Beneficial (Instr. 5) Beneficially Security: Ownership Owned Direct (D) (Instr. 4) Amount or Following or Title Number of Reported Indirect (I) Shares Transaction(s) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------- Common Stock 300,000* $0.15 300,000 D ------------------------------------------------------------------------------------------------------------------- Common Stock 10,000 $0.09 10,000 D ------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------- Explanation of Responses: *OPTIONS TO VEST ONE-THIRD PER ANNUM, COMMENCING AT THE DATE OF GRANT. /s/Jonathan Joels 10/15/02 ** Intentional misstatements or omissions of facts constitute ------------------------------------ --------------- Federal Criminal Violations. **Signature of Reporting Person Date See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2