Mga Batayang Estadistika
| CIK | 753048 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Axion International Holdings, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| May 18, 2016 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EXHIBIT 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re Axion International, Inc.1 Debtors. Chapter 11 Case No.: 15-12415 (CSS) (Jointly Administered) JOINT PLAN OF LIQUIDATION BAYARD, P.A. Scott Cousins (No. 3079) Justin R. Alberto (No. 5126) 222 Delaware Ave., Suite 900 Wilmington, DE 19801 Telephone: (302) 655-5000 Facsimile: (302) 658-6395 Email: scousins@bayardla |
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| May 18, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EXHIBIT 99.2 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International, Inc. Case No.: 15-12415 Reporting Period: April 2016 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Form N |
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| May 18, 2016 |
Financial Statements and Exhibits, Bankruptcy or Receivership 8-K 1 v4403728k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 18, 2016 (May 9, 2016) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction |
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| April 19, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 19, 2016 (April 18, 2016) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 0-13111 84-0846389 (State or other jurisdiction (Comm |
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| April 19, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EX-99.2 3 v437288ex99-2.htm EXHIBIT 99.2 EXHIBIT 99.2 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International, Inc. Case No.: 15-12415 Reporting Period: March 2016 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Document Explanation Affid |
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| April 19, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International Holdings, Inc. Case No.: 15?12416 Reporting Period: March 2016 MONTHLY OPERATING REPORT (NO ACTIVITY DURING THE REPORTING PERIOD) File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Document Explana |
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| March 21, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 21, 2016 (March 18, 2016) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-1311 |
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| March 21, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EX-99.1 2 v434705ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International Holdings, Inc. Case No.: 15—12416 Reporting Period: February 2016 MONTHLY OPERATING REPORT (NO ACTIVITY DURING THE REPORTING PERIOD) File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official commi |
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| March 21, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EXHIBIT 99.2 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International, Inc. Case No.: 15-12415 Reporting Period: February 2016 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS For |
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| February 24, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 24, 2016 (February 22, 2016) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) |
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| February 24, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EX-99.1 2 v432520ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International Holdings, Inc. Case No.: 15—12416 Reporting Period: January 2016 MONTHLY OPERATING REPORT (NO ACTIVITY DURING THE REPORTING PERIOD) File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official commit |
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| February 24, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EXHIBIT 99.2 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International, Inc. Case No.: 15-12415 Reporting Period: January 1 to 31, 2016 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Document Explanation Affidavit/Supplement REQUIRED DOCUM |
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| January 29, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE Exhibit 99.3 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion Recycled Plastics Incorporated Case No.: 15?12417 Reporting Period: December 2 to 31, 2015 MONTHLY OPERATING REPORT (NO ACTIVITY DURING THE REPORTING PERIOD) File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Do |
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| January 29, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International Holdings, Inc. Case No.: 15?12416 Reporting Period: December 2 to 31, 2015 MONTHLY OPERATING REPORT (NO ACTIVITY DURING THE REPORTING PERIOD) File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. REQU |
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| January 29, 2016 |
UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE Exhibit 99.2 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re: Axion International, Inc. Case No.: 15-12415 Reporting Period: December 2 to 31, 2015 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month Submit copy of report to any official committee appointed in the case. Document Explanation Affidavit/Supplement REQUIRED DOCU |
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| January 29, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 29, 2016 (January 20, 2016) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0- |
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| January 19, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 15, 2016 (December 7, 2015) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 0-13111 84-0846389 (State or other jurisdiction ( |
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| December 8, 2015 |
Axion International Holdings FORM 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 8, 2015 (December 2, 2015) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0- |
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| December 1, 2015 |
Debtor-in-Possession Term Loan/ Lender Sponsored Transaction Term Sheet Exhibit 99.3 Execution Version: November 25, 2015 Debtor-in-Possession Term Loan/ Lender Sponsored Transaction Term Sheet Borrowers: Axion International Holdings, Inc., and its affiliates, including but not limited to Axion International, Inc. and Axion Recycled Plastics Incorporated (collectively, the ?Borrowers?). Guarantors: None Lender: Plastic Ties Financing LLC or its assigns (the ?Lender?). |
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| December 1, 2015 |
EXHIBIT 99.2 AGREEMENT This Agreement ("Agreement") is made as of the 21st day of November, 2015, by and among Allen R. Kronstadt (?Kronstadt?), Axion International Holdings, Inc. ("Holdings"), Axion International, Inc. ("International") and Axion Recycled Plastics Incorporated (?Plastics?). (Holdings, International and Plastics are hereinafter collectively referred to as "Axion"), as follows: WHE |
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| December 1, 2015 |
PROMISSORY NOTE, LOAN AND SECURITY AGREEMENT Exhibit 99.1 $500,000.00 November 24, 2015 PROMISSORY NOTE, LOAN AND SECURITY AGREEMENT For value received, and on the terms and subject to the conditions set forth herein, Axion International Holdings, Inc., a Colorado corporation (“Holdings”), Axion International, Inc., a Delaware corporation (“Axion International”) and Axion Recycled Plastics Incorporated (“Plastics”) (Holdings, Axion Internati |
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| December 1, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 1, 2015 (November 21, 2015) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0 |
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| December 1, 2015 |
Allen Kronstadt Asset Purchase Agreement Stalking Horse Term Sheet EX-99.4 5 v425925ex99-4.htm EXHIBIT 99.4 Exhibit 99.4 Execution Version: November 25, 2015 Allen Kronstadt Asset Purchase Agreement Stalking Horse Term Sheet This Asset Purchase Agreement Stalking Horse Term Sheet (the “Term Sheet”), is being entered into as of the 25th day of November, 2015, by and among the Debtors (defined below), and Allen Kronstadt (Allen Kronstadt or his designee/assignee is |
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| November 24, 2015 |
Axion International Holdings AMENDED QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q/A (AMENDMENT NO. 1) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0-13111 AX |
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| November 24, 2015 |
Axion International Holdings AMENDED QUARTERLY REPORT (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q/A (AMENDMENT NO. 1) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0-13111 AXI |
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| November 24, 2015 |
Axion International Holdings ESP November 24, 2015 Mr. John Cash Division of Corporation Finance Mail Stop 4631 Securities and Exchange Commission Washington, D.C. 20549 Dear Mr. Cash: Reference is made to your comment letters to the Company dated October 21, 2015 and November 10, 2015, relating to Forms 10-Q for the quarters ended March 31, 2015 and June 30, 2015 (the “Comment Letter”). Set forth below is the comment followed by |
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| November 16, 2015 |
Axion International Holdings 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0-13111 AXION INTERNATIONA |
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| November 9, 2015 |
Axion International Holdings ESP November 6, 2015 Mr. John Cash Office of Manufacturing and Construction Division of Corporation Finance Mail Stop 4631 Securities and Exchange Commission Washington, D.C. 20549 Dear Mr. Cash: Reference is made to your comment letter to the Company dated October 21, 2015, relating to Forms 10-Q for the quarters ended March 31, 2015 and June 30, 2015 (the “Comment Letter”). Set forth below is the co |
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| November 3, 2015 |
EXHIBIT 10.1 AGREEMENT This Agreement (?Agreement?) is made as of the 20th day of October, 2015, by and among Samuel G. Rose, Melvin Lenkin, Edward Lenkin, Julie Walters, RPM Greenbaum and the 401(k) plan dated December 1, 1992, Judy Lenkin Lerner, Judy Lenkin Lerner Revocable Trust, ML Dynasty Trust, MLTM Lending, LLC , TM Investments LP, Thomas O. Bowersox, Southern Management Corporation (all o |
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| November 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 3, 2015 (October 28, 2015) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0- |
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| October 14, 2015 |
Changes in Registrant's Certifying Accountant 8-K 1 v4221278k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 14, 2015 (October 13, 2015) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other juri |
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| October 14, 2015 |
EX-16.1 2 v422127ex16-1.htm EXHIBIT 16.1 Exhibit 16.1 BDO USA, LLP October 14, 2015 Securities and Exchange Commission 100 F Street, N.W. Washington, DC 20549-7561 We have been furnished with a copy of the response to Item 4.01 of Form 8-K for the event that occurred on October 13, 2015, to be filed by our former client, Axion International Holdings, Inc. We agree with the statements made in respo |
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| June 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2015 (June 9, 2015) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 0-13111 84-0846389 (State or other jurisdiction of inco |
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| November 28, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2014 (November 28, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) |
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| November 28, 2014 |
LETTER TO SHAREHOLDERS November 2014 Exhibit 99.1 LETTER TO SHAREHOLDERS November 2014 Dear AXION Shareholders: I want to take the opportunity to introduce myself and express the very great pleasure I have in joining and leading the AXION team. Having held senior leadership positions in the advanced polymers and building materials industries for over 20 years, I feel very excited to be taking on the Chief Executive Officer post here |
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| October 20, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2014 (October 14, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0 |
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| September 15, 2014 |
AXIH / Axion International Holdings, Inc. DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statem |
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| September 5, 2014 |
AXIH / Axion International Holdings, Inc. PRE 14A - - PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statem |
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| August 8, 2014 |
AXION Accelerates Vertical Integration Strategy and Expansion of Engineered Products Production to Meet Growing Demand Conversion of Zanesville Facility to Increase Capacity for Engineered Products Division; New Board Member and Changes to Executive Management Team ZANESVILLE, O. |
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| August 8, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2014 (August 4, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-131 |
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| July 2, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 2, 2014 (June 11, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 |
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| July 2, 2014 |
EX-4.1 2 v383114ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 THIS CONVERTIBLE PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. NO SALE OR DISPOSITION MAY BE MADE EXCEPT IN COMPLIANCE WITH RULE 144 UNDER SAID ACT OR AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL FOR THE HOLDER SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED |
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| June 25, 2014 |
SC TO-I/A 1 v382267sctoia.htm SC TO-I/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2) AXION INTERNATIONAL HOLDINGS, INC. (Name of Subject Company (Issuer) and Name of Filing Person (Issuer)) WARRANTS TO PURCHASE COMMON STOCK, NO PAR VALUE PER SHARE (Title of Cl |
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| June 17, 2014 |
THIS CONVERTIBLE PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. |
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| June 17, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2014 (June 11, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 |
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| May 28, 2014 |
EX-99.(A)(1)(I)(A) 2 v379944ex-a1i.htm EXHIBIT (A)(1)(I)(A) Exhibit (a)(1)(i)(A) AXION INTERNATIONAL HOLDINGS, INC. Amended and Restated Offer to Exchange Warrants For Shares of Common Stock (“Offer to Exchange” or “Offer”) May 28, 2014 The Offer to Exchange and the Associated Withdrawal Rights Expire on June 16, 2014 At 11:59 P.M., Eastern Time, Unless The Offer Is Extended Axion International Ho |
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| May 28, 2014 |
Axion International Holdings, Inc. ELECTION WITHDRAWAL NOTICE EX-99.(A)(1)(IV)(A) 4 v379944ex-a1iv.htm EXHIBIT (A)(1)(IV)(A) Page 1 of 1 FORM OF ELECTION WITHDRAWAL NOTICE Exhibit (a)(1)(iv)(A) Axion International Holdings, Inc. ELECTION WITHDRAWAL NOTICE From: If by Surface Mail: To: Axion International Holdings, Inc. 4005 All American Way Zanesville, Ohio 43701 Attention: Donald Fallon If by Email: To: [email protected] I previously received a copy of the A |
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| May 28, 2014 |
Axion International Holdings, Inc. LETTER OF TRANSMITTAL FORM OF LETTER OF TRANSMITTAL Exhibit (a)(1)(iii)(A) Axion International Holdings, Inc. |
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| May 28, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) AXION INTERNATIONAL HOLDINGS, INC. (Name of Subject Company (Issuer) and Name of Filing Person (Issuer)) WARRANTS TO PURCHASE COMMON STOCK, NO PAR VALUE PER SHARE (Title of Class of Securities) Underlying Common Sto |
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| May 28, 2014 |
May 28, 2014 Perry Hindin, Special Counsel Office of Mergers & Acquisitions United States Securities and Exchange Commission Washington, DC 20549 Re: Axion International Holdings, Inc Schedule TO-I Filed May 16, 2014 File No. |
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| May 16, 2014 |
EX-99.(A)(1)(II) 3 v378901ex-a1ii.htm EXHIBIT (A)(1)(II) FORM OF INTRODUCTORY LETTER Exhibit (a)(1)(ii) May 16, 2014 Dear Warrant Holders: We are pleased to offer our Warrant Holders with an opportunity to exchange their outstanding Warrants for shares of our common stock, no par value per share, at the rate of 14.17707 shares of common stock for every $10.00 of value of the tendered Warrants. To |
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| May 16, 2014 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AXION INTERNATIONAL HOLDINGS, INC. (Name of Subject Company (Issuer) and Name of Filing Person (Issuer)) WARRANTS TO PURCHASE COMMON STOCK, NO PAR VALUE PER SHARE (Title of Class of Securities) Underlying Common Stock: 05462D (CUSIP |
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| May 16, 2014 |
Axion International Holdings, Inc. LETTER OF TRANSMITTAL FORM OF LETTER OF TRANSMITTAL Exhibit (a)(1)(iii) Axion International Holdings, Inc. |
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| May 16, 2014 |
EX-99.(A)(1)(I) 2 v378901ex-a1i.htm EXHIBIT (A)(1)(I) Exhibit (a)(1)(i) AXION INTERNATIONAL HOLDINGS, INC. Offer to Exchange Warrants For Shares of Common Stock (“Offer to Exchange” or “Offer”) May 16, 2014 The Offer to Exchange and the Associated Withdrawal Rights Expire on June 16, 2014 At 11:59 P.M., Eastern Time, Unless The Offer Is Extended Axion International Holdings, Inc. (“AXION,” the “Co |
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| May 16, 2014 |
Axion International Holdings, Inc. ELECTION WITHDRAWAL NOTICE EX-99.(A)(1)(IV) 5 v378901ex-a1iv.htm EXHIBIT (A)(1)(IV) Page 1 of 1 FORM OF ELECTION WITHDRAWAL NOTICE Exhibit (a)(1)(iv) Axion International Holdings, Inc. ELECTION WITHDRAWAL NOTICE From: If by Surface Mail: To: Axion International Holdings, Inc. 4005 All American Way Zanesville, Ohio 43701 Attention: Donald Fallon If by Email: To: [email protected] I previously received a copy of the Offer to E |
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| May 12, 2014 |
S-8 1 v378118s8.htm S-8 As filed with the Securities and Exchange Commission on May 12, 2014 Registration Statement No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 84-0846389 (State or other jurisdiction |
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| April 9, 2014 |
Exhibit 99.2 Dial-in Instructions: Date: 4:30 PM ET April 7th 2014 Live Chairperson Dial In (United States): 877-407-9710 Simply ask to be placed into the AXION Conference Call Earnings Call Script: Operator: Greetings, ladies and gentlemen, and welcome to AXION International’s 2013 Year-End Earnings Conference Call. At this time, all participants are in a listen only mode. A brief question and an |
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| April 9, 2014 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 5515 Security Lane, Suite 1115 Rockville, MD 20852 Telephone: (301) 530-9700 (Name, Address and Telephone Number of |
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| April 9, 2014 |
EX-99.1 2 v374319ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 AXION Reports Full Year 2013 Financial Results Revenues grew 24% over prior year to $6.6 million; Company to conduct conference call on Monday, April 7th at 4:30 p.m. ET NEW PROVIDENCE, N.J. – April 7, 2014 - AXION International Holdings, Inc. (OTCQB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX® |
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| April 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2014 (April 7, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 |
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| April 1, 2014 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Samuel G. Rose 5301 Wisconsin Avenue, NW Suite 510 Washington, DC 20015 Telephone: (202) 686-3000 (Name, Address and Telephone Numb |
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| April 1, 2014 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name, Address and Telephone Number of Person Au |
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| March 31, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2013 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form N-SAR For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| March 3, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2014 (February 25, 2014) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-1 |
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| February 14, 2014 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 11820 Parklawn Drive, Suite 404 Rockville, MD 20852 Telephone: (301) 230-0174 (Name, Address and Telephone Number o |
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| February 14, 2014 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name, Address and Telephone Number of Person Au |
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| February 14, 2014 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Samuel G. Rose 5301 Wisconsin Avenue, NW Suite 510 Washington, DC 20015 Telephone: (202) 686-3000 (Name, Address and Telephone Numb |
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| November 21, 2013 |
EXHIBIT 10.10 GUARANTY (Continuing Debt - Unlimited) DATE AND PARTIES. The date of this Guaranty is November 15, 2013. The parties and their addresses are: LENDER: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 Telephone: (740) 454-1600 BORROWER: AXION RECYCLED PLASTICS INCORPORATED an Ohio Corporation 4005 All American Way Zanesville, OH 43701 GUARANTOR: AXION INTERNATIONAL |
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| November 21, 2013 |
EX-4.2 4 v360963ex4-2.htm EXHIBIT 4.2 EXHIBIT 4.2 LOAN NUMBER LOAN NAME ACCT. NUMBER NOTE DATE INITIALS 2312398 Axion Recycled Plastics Incorporated 11/15/13 CAO NOTE AMOUNT INDEX (w/Margin) RATE MATURITY DATE LOAN PURPOSE $1,000,000.00 Not Applicable 4.250% Creditor Use Only 11/15/18 Commercial PROMISSORY NOTE (Commercial - Single Advance) DATE AND PARTIES. The date of this Promissory Note (Note) |
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| November 21, 2013 |
EXHIBIT 4.3 REVOLVING CREDIT NOTE Principal Amount: Up to $1,250,000 Issuance Date: November 15, 2013 For value received, the undersigned, AXION INTERNATIONAL HOLDINGS, INC., a Colorado corporation (“Parent”), AXION INTERNATIONAL, INC., a Delaware corporation and a wholly-owned subsidiary of Parent (“AXI”), and AXION RECYCLED PLASTICS INCORPORATED, an Ohio corporation and a wholly-owned subsidiary |
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| November 21, 2013 |
COMMERCIAL LOAN AGREEMENT Single Advance Loan EXHIBIT 10.2 LOAN NUMBER LOAN NAME ACCT. NUMBER AGREEMENT DATE INITIALS 2312374 Axion Recycled Plastics 11/15/13 CAO Incorporated NOTE AMOUNT INDEX (w/Margin) RATE MATURITY DATE LOAN PURPOSE $3,500,000.00 Not Applicable 4.250% 11/15/18 Commercial Creditor Use Only COMMERCIAL LOAN AGREEMENT Single Advance Loan DATE AND PARTIES. The date of this Commercial Loan Agreement (Agreement) is November 15, |
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| November 21, 2013 |
REVOLVING CREDIT and Letter of Credit Support AGREEMENT EXHIBIT 10.12 REVOLVING CREDIT and Letter of Credit Support AGREEMENT THIS REVOLVING CREDIT AND LETTER OF CREDIT SUPPORT AGREEMENT is dated November 15, 2013, among AXION INTERNATIONAL HOLDINGS, INC., a Colorado corporation (“Parent”), AXION INTERNATIONAL, INC., a Delaware corporation and a wholly-owned subsidiary of Parent (“AXI”), AXION Recycled Plastics Incorporated, an Ohio corporation and a w |
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| November 21, 2013 |
EXHIBIT 4.4 REVOLVING CREDIT NOTE Principal Amount: Up to $1,250,000 Issuance Date: November 15, 2013 For value received, the undersigned, AXION INTERNATIONAL HOLDINGS, INC., a Colorado corporation (“Parent”), AXION INTERNATIONAL, INC., a Delaware corporation and a wholly-owned subsidiary of Parent (“AXI”), and AXION RECYCLED PLASTICS INCORPORATED, an Ohio corporation and a wholly-owned subsidiary |
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| November 21, 2013 |
EXHIBIT 10.7 LOAN NUMBER LOAN NAME ACCT. NUMBER AGREEMENT DATE INITIALS 2312398 Axion Recycled Plastics Incorporated 11/15/13 CAO NOTE AMOUNT INDEX (w/Margin) RATE MATURITY DATE LOAN PURPOSE $1,000,000.00 Not Applicable 4.250% Creditor Use Only 11/15/18 Commercial COMMERCIAL LOAN AGREEMENT Single Advance Loan DATE AND PARTIES. The date of this Commercial Loan Agreement (Agreement) is November 15, |
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| November 21, 2013 |
FIRST AMENDMENT Axion International Holdings, Inc. 2010 Stock Plan EXHIBIT 10.14 FIRST AMENDMENT TO Axion International Holdings, Inc. 2010 Stock Plan This FIRST AMENDMENT TO Axion International Holdings, Inc. 2010 Stock Plan (this “First Amendment”) is effective as of November 20, 2013. 1. Amendments. The Axion International Holdings, Inc. 2010 Stock Plan (the “Plan”) is hereby amended as follows: (a) Section 3(a) of the Plan is hereby amended and restated as fo |
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| November 21, 2013 |
EX-10.11 17 v360963ex10-11.htm EXHIBIT 10.11 EXHIBIT 10.11 GUARANTY (Continuing Debt - Unlimited) DATE AND PARTIES. The date of this Guaranty is November 15, 2013. The parties and their addresses are: LENDER: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 Telephone: (740) 454-1600 BORROWER: AXION RECYCLED PLASTICS INCORPORATED an Ohio Corporation 4005 All American Way Zanesvi |
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| November 21, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2013 (November 13, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) |
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| November 21, 2013 |
EXHIBIT 10.1 ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this “Agreement”) made this 15th day of November, 2013 by and between AXION RECYCLED PLASTICS INCORPORATED, an Ohio Corporation (“Purchaser”), Y CITY RECYCLING, LLC, an Ohio limited liability company (“Seller”), and BRIAN COLL and RENEE COLL, husband and wife (jointly and severally the “Colls”). RECITALS WHEREAS, Seller is in the |
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| November 21, 2013 |
Exhibit 3.1 ARTICLES OF AMENDMENT TO THE ARTICLES OF INCORPORATION OF AXION INTERNATIONAL HOLDINGS, INC. a Colorado corporation Axion International Holdings, Inc. (the “Corporation”), organized and existing under and by virtue of the Colorado Business Corporation Act, does hereby certify as follows: FIRST: The name of the corporation is Axion International Holdings, Inc. SECOND: The following amen |
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| November 21, 2013 |
PROMISSORY NOTE (Commercial - Single Advance) EXHIBIT 4.1 LOAN NUMBER LOAN NAME ACCT. NUMBER NOTE DATE INITIALS 2312374 Axion Recycled Plastics Incorporated 11/15/13 CAO NOTE AMOUNT INDEX (w/Margin) RATE MATURITY DATE LOAN PURPOSE $3,500,000.00 Not Applicable 4.250% 11/15/18 Commercial Creditor Use Only PROMISSORY NOTE (Commercial - Single Advance) DATE AND PARTIES. The date of this Promissory Note (Note) is November 15, 2013. The parties and |
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| November 21, 2013 |
EXHIBIT 10.3 SECURITY AGREEMENT DATE AND PARTIES. The date of this Security Agreement (Agreement) is November 15, 2013. The parties and their addresses are: SECURED PARTY: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 DEBTOR: AXION INTERNATIONAL, INC. a Delaware Corporation 180 South Street, Suite 104 New Providence, NJ 07974 The pronouns "you" and "your" refer to the Secure |
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| November 21, 2013 |
EXHIBIT 10.5 GUARANTY (Continuing Debt - Unlimited) DATE AND PARTIES. The date of this Guaranty is November 15, 2013. The parties and their addresses are: LENDER: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 Telephone: (740) 454-1600 BORROWER: AXION RECYCLED PLASTICS INCORPORATED an Ohio Corporation 4005 All American Way Zanesville, OH 43701 GUARANTOR: AXION INTERNATIONAL H |
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| November 21, 2013 |
EXHIBIT 10.8 SECURITY AGREEMENT DATE AND PARTIES. The date of this Security Agreement (Agreement) is November 15, 2013. The parties and their addresses are: SECURED PARTY: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 DEBTOR: AXION INTERNATIONAL, INC. a Delaware Corporation 180 South Street, Suite 104 New Providence, NJ 07974 The pronouns "you" and "your" refer to the Secure |
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| November 21, 2013 |
EXHIBIT 10.6 GUARANTY (Continuing Debt - Unlimited) DATE AND PARTIES. The date of this Guaranty is November 15, 2013. The parties and their addresses are: LENDER: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 Telephone: (740) 454-1600 BORROWER: AXION RECYCLED PLASTICS INCORPORATED an Ohio Corporation 4005 All American Way Zanesville, OH 43701 GUARANTOR: AXION INTERNATIONAL, |
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| November 21, 2013 |
EXHIBIT 10.4 SECURITY AGREEMENT DATE AND PARTIES. The date of this Security Agreement (Agreement) is November 15, 2013. The parties and their addresses are: SECURED PARTY: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 DEBTOR: AXION RECYCLED PLASTICS INCORPORATED an Ohio Corporation 4005 All American Way Zanesville, OH 43701 The pronouns "you" and "your" refer to the Secured |
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| November 21, 2013 |
EXHIBIT 10.13 SECURITY AGREEMENT THIS SECURITY AGREEMENT is dated November 15, 2013 (this “Agreement”), among Axion International Holdings, Inc., a Colorado corporation (“Parent”), AXION INTERNATIONAL, INC., a Delaware corporation and a wholly-owned subsidiary of Parent (“AXI”), and Axion Recycled Plastics Incorporated, an Ohio corporation and a wholly-owned subsidiary of AXI (together with Parent |
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| November 21, 2013 |
EXHIBIT 10.9 SECURITY AGREEMENT DATE AND PARTIES. The date of this Security Agreement (Agreement) is November 15, 2013. The parties and their addresses are: SECURED PARTY: THE COMMUNITY BANK 113 N Fifth Street Suite 101 Zanesville, OH 43701 DEBTOR: AXION RECYCLED PLASTICS INCORPORATED an Ohio Corporation 4005 All American Way Zanesville, OH 43701 The pronouns "you" and "your" refer to the Secured |
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| November 8, 2013 |
AXION Schedules Conference Call to Discuss 2013 Third Quarter Results Exhibit 99.1 AXION Schedules Conference Call to Discuss 2013 Third Quarter Results NEW PROVIDENCE, N.J. – November 8, 2013 - AXION International Holdings, Inc. (OTCBB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX® rail ties and STRUXURE® building products, has scheduled a conference call for 4:30 p.m. Eastern Time (ET) on Thursday, November 14, 2013 |
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| November 8, 2013 |
Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2013 (November 6, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0 |
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| October 24, 2013 |
First Amendment to SECURITY AGREEMENT Exhibit 10.1 First Amendment to SECURITY AGREEMENT THIS First Amendment to SECURITY AGREEMENT dated as of October 21, 2013 (this “Amendment”), is by and among Axion International Holdings, Inc., a Colorado corporation (“Debtor”), Axion International, Inc. a Delaware corporation (the “Subsidiary” and collectively with Debtor, the “Pledgors”), and the holders of Debtor’s Convertible Notes (as define |
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| October 24, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 24, 2013 (October 21, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0 |
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| October 24, 2013 |
Axion International Holdings, Inc. Convertible Note EX-99.1 2 v358104ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS NOTE NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN T |
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| October 24, 2013 |
Axion International Holdings, Inc. Secured Note Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THIS NOTE MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) AN OPINION OF COUNSEL, IN A FORM REASONABLY ACCEPTABLE TO THE COMPAN |
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| October 24, 2013 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name, Address and Telephone Number of Person Au |
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| October 24, 2013 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock EXHIBIT 99.2 NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. Neither this Warrant nor such securities MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF |
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| October 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| October 11, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| October 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| September 26, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| August 15, 2013 |
Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2013 (August 14, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-1 |
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| August 15, 2013 |
Exhibit 99.1 AXION Reports Second Quarter 2013 Results Company to conduct conference call on Friday, August 16 at 12:00 p.m. ET NEW PROVIDENCE, N.J. – Aug 14, 2013 - AXION International Holdings, Inc. (OTCBB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX® rail ties and STRUXURE® building products, today announced financial results for the three and s |
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| May 15, 2013 |
Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2013 (May 14, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 ( |
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| May 15, 2013 |
Exhibit 99.1 AXION Reports First Quarter 2013 Results Company to conduct conference call on Thursday, May 16 at 4:30 pm ET NEW PROVIDENCE, N.J. – May 15, 2013 - AXION International Holdings, Inc. (OTCBB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX™ rail ties and STRUXURE™ building products, today announced financial results for its first quarter en |
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| April 4, 2013 |
Exhibit 99.1 AXION Reports 2012 Year-End Financial Results Revenues grow 37% over prior year to $5.3 million; Conference call scheduled for Monday, April 1 at 4.30 pm ET NEW PROVIDENCE, N.J. – April 1, 2013 - AXION International Holdings, Inc. (OTCBB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX™ rail ties and STRUXURE™ building products, today anno |
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| April 4, 2013 |
Exhibit 99.1 AXION Reports 2012 Year-End Financial Results Revenues grow 37% over prior year to $5.3 million; Conference call scheduled for Monday, April 1 at 4.30 pm ET NEW PROVIDENCE, N.J. – April 1, 2013 - AXION International Holdings, Inc. (OTCBB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX™ rail ties and STRUXURE™ building products, today anno |
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| April 4, 2013 |
Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 4, 2013 (April 1, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 |
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| April 4, 2013 |
Regulation FD Disclosure, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 4, 2013 (April 1, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-1311 |
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| April 4, 2013 |
Exhibit 99.2 Dial-in Instructions: Date: 4:30 PM ET April 1st 2013 Live Chairperson Dial In (United States): 877-407-9710 Simply ask to be placed into the AXION Conference Call Earnings Call Script: Operator: Greetings, ladies and gentlemen, and welcome to AXION International’s 2012 Year-End Earnings Conference Call. At this time, all participants are in a listen only mode. A brief question and an |
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| March 25, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2013 (March 20, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-131 |
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| March 25, 2013 |
AXION International Holdings Inc. (OTCBB:AXIH ) Investor Presentation – Spring 2013 Greening Tomorrow’s Infrastructure Today (OTCBB : AXIH) Safe Harbor Statement Matters discussed in this presentation contain forward - looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 . When used in this document, the words "anticipate," "believe," "estimate," "may," "in |
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| February 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) * Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of S |
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| February 12, 2013 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessi |
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| January 31, 2013 |
Axion International Holdings, Inc. Convertible Note NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 31, 2013 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 31, 2013 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G - FORM SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Samuel G. Rose 5301 Wisconsin Avenue, NW Suite 510 Washington, DC 20015 Telephone: (202) 686-3000 (Name, Address and Telephone Numb |
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| January 30, 2013 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name, Address and Telephone Number of Person Au |
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| January 30, 2013 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 30, 2013 |
Axion International Holdings, Inc. Convertible Note NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 30, 2013 |
Axion International Holdings, Inc. Convertible Note NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 30, 2013 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2013 (January 28, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0 |
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| January 30, 2013 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 11820 Parklawn Drive, Suite 404 Rockville, MD 20852 Telephone: (301) 230-0174 (Name, Address and Telephone Number o |
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| January 25, 2013 |
Exhibit 99.1 January 24, 2013 Dear AXION Shareholders, I am pleased to announce that AXION International has advanced from a company in the product development, proof-of-concept stage to a company delivering solid growth towards profitability. We recently announced that revenues increased 124% to $4.9 million for the nine months ended September 30, 2012 compared to the same period in 2011. We are |
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| January 25, 2013 |
Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2013 (January 25, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0 |
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| January 10, 2013 |
Axion International Holdings, Inc. Convertible Note NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) OF THIS NOTE OF HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 10, 2013 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 11820 Parklawn Drive, Suite 404 Rockville, MD 20852 Telephone: (301) 230-0174 (Name, Address and Telephone Number o |
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| January 10, 2013 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| January 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2013 (January 4, 2013) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-1 |
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| December 20, 2012 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Samuel G. Rose 5301 Wisconsin Avenue, NW Suite 510 Washington, DC 20015 Telephone: (202) 686-3000 (Name, Address and Telephone Numb |
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| December 20, 2012 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| December 20, 2012 |
Axion International Holdings, Inc. Convertible Note NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) OF THIS NOTE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| December 18, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2012 (December 17, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) |
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| November 23, 2012 |
Results of Operations and Financial Condition - 8-K CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 23, 2012 (November 21, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) |
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| November 23, 2012 |
Exhibit 99.1 AXION Reports Continued Revenue Growth in Third Quarter and Nine Months Ended September 30, 2012 Company to conduct conference call on Tuesday, November 27 at 4:15 pm ET NEW PROVIDENCE, N.J. – November 21, 2012 - AXION International Holdings, Inc. (OTCBB:AXIH), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX™ rail ties and STRUXURE™ building pro |
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| October 4, 2012 |
Axion International Holdings, Inc. Convertible Note EX-99.1 2 v325056ex99-1.htm EXHIBIT 99.1 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS NOTE NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF |
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| October 4, 2012 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock EXHIBIT 99.2 NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. Neither this Warrant nor such securities MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF |
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| October 4, 2012 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Samuel G. Rose 5301 Wisconsin Avenue, NW Suite 510 Washington, DC 20015 Telephone: (202) 686-3000 (Name, Address and Telephone Numb |
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| October 4, 2012 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 11820 Parklawn Drive, Suite 404 Rockville, MD 20852 Telephone: (301) 230-0174 (Name, Address and Telephone Number o |
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| October 4, 2012 |
Axion International Holdings, Inc. Convertible Note EXHIBIT 99.1 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS NOTE NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATI |
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| October 4, 2012 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| October 4, 2012 |
Axion International Holdings, Inc. Warrant To Purchase Common Stock NEITHER this Warrant NOR THE SECURITIES INTO WHICH this Warrant is EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| October 4, 2012 |
Axion International Holdings, Inc. Convertible Note NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| October 4, 2012 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - FORM SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name, Address and Telephone Number of Person Au |
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| October 2, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2012 (September 28, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) |
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| September 20, 2012 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - FORM SC 13D/A Activist Investment SC 13D/A 1 v324125sc13da.htm FORM SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name |
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| September 14, 2012 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 11820 Parklawn Drive, Suite 404 Rockville, MD 20852 Telephone: (301) 230-0174 (Name, Address and Telephone Number o |
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| September 12, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2012 (September 11, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 0-13111 84-0846389 (State or other jurisdict |
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| September 4, 2012 |
AXION INTERNATIONAL HOLDINGS, INC. Warrant To Purchase Common Stock EX-99.8 3 v322959ex8.htm EXHIBIT 8 Exhibit 8 NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS WARRANT NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURI |
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| September 4, 2012 |
AXIH / Axion International Holdings, Inc. / KRONSTADT ALLEN - SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Allen Kronstadt 11820 Parklawn Drive, Suite 404 Rockville, MD 20852 Telephone: (301) 230-0174 (Name, Address and Telephone Number of |
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| September 4, 2012 |
AXIH / Axion International Holdings, Inc. / MLTM Lending LLC - FORM SC 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) MLTM Lending, LLC 4922A St. Elmo Ave. Bethesda, MD 20814 Telephone: (301) 654-2100 (Name, Address and Telephone Number of Person Aut |
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| September 4, 2012 |
Axion International Holdings, Inc. Convertible Note Exhibit 7 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| September 4, 2012 |
EX-99.1 4 v322974ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of ea |
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| September 4, 2012 |
Axion International Holdings, Inc. Convertible Note Exhibit 4 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| September 4, 2012 |
AXIH / Axion International Holdings, Inc. / TM INVESTMENTS, LP - FORM SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) * Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of S |
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| September 4, 2012 |
Axion International Holdings, Inc. Convertible Note EX-4 2 v322974ex4.htm EXHIBIT 4 Exhibit 4 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS NOTE NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE O |
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| September 4, 2012 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessi |
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| September 4, 2012 |
AXION INTERNATIONAL HOLDINGS, INC. Warrant To Purchase Common Stock Exhibit 5 NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. |
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| September 4, 2012 |
EXHIBIT 9 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
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| September 4, 2012 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G - SC 13D Activist Investment \ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Axion International Holdings, Inc. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 05462D 10 1 (CUSIP Number) Samuel G. Rose 5301 Wisconsin Avenue, NW Suite 510 Washington, DC 20015 Telephone: (202) 686-3000 (Name, Address and Telephone Num |
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| August 27, 2012 |
AXION INTERNATIONAL HOLDINGS, INC. Warrant To Purchase Common Stock EXHIBIT 4.2 NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS WARRANT NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF |
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| August 27, 2012 |
Axion International Holdings, Inc. Convertible Note EX-4.1 2 v322518ex4-1.htm EXHIBIT 4.1 EXHIBIT 4.1 NEITHER THIS NOTE, NOR THE SECURITIES INTO WHICH THIS NOTE IS CONVERTIBLE, nor the securities issuABLE pursuant to Section 3(f) of this Note HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. NEITHER THIS NOTE NOR SUCH SECURITIES MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE A |
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| August 27, 2012 |
EXHIBIT 10.2 Execution Version SECURITY AGREEMENT THIS SECURITY AGREEMENT dated as of August 24, 2012 (this “Agreement”), is by and among Axion International Holdings, Inc., a Colorado corporation with its chief executive office and principal place of business located at 180 South Street, New Providence, New Jersey 07974 (“Debtor”) and Axion International, Inc. a Delaware corporation with its chie |
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| August 27, 2012 |
Entry into a Material Definitive Agreement - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2012 (August 24, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 0-13111 84-0846389 (State or other jurisdiction (C |
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| August 27, 2012 |
EXHIBIT 10.1 Execution Version Note Purchase Agreement By and Among Axion International Holdings, Inc. And The Investors Listed on the Schedule of Investors Attached Hereto August 24, 2012 Table of Contents Article I DEFINITIONS 1.1 Definitions 2 1.2 Other Definitional Provisions 4 Article II PURCHASE AND SALE OF NOTES AND WARRANTS. 2.1 Closings 5 2.2 Exchange of Demand Notes 5 2.3 Warrants 6 2.4 |
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| August 27, 2012 |
EXHIBIT 10.3 Execution Version REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of August 24, 2012, by and among Axion International Holdings, Inc., a Colorado corporation (the “Company”), and the investors listed on the signature page hereto (individually, an “Investor” and collectively, the “Investors”). WHEREAS, in connection with t |
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| August 15, 2012 |
Axion International To Amend its SEC Filings EX-99.1 2 v321693ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Axion International To Amend its SEC Filings NEW PROVIDENCE, N.J. – August 15, 2012 – On August 15, 2012, Axion International Holdings, Inc. (OTCBB: AXIH), a leading producer of industrial building products and railroad ties made from 100% recycled plastic, filed its Form 8-K with the SEC concerning the restatement of the Company’s financial st |
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| August 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: June 30, 2012 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form N-SAR For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| August 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2012 (August 13, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado 0-13111 84-0846389 (State or other jurisdiction (C |
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| August 8, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2012 (August 7, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-131 |
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| May 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2012 (May 10, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 ( |
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| May 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: March 31, 2012 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form N-SAR For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| May 4, 2012 |
Axion International Holdings, Inc. DEMAND PROMISSORY NOTE EXHIBIT 4.1 Axion International Holdings, Inc. DEMAND PROMISSORY NOTE $ FOR VALUE RECEIVED, Axion International Holdings, Inc., a Colorado corporation (the “Payor”), hereby promises to pay to the order of or assigns, residing at (the “Payee”), the principal amount of ($), plus all accrued and unpaid interest from the date of this note (this “Note”) on the unpaid principal balance hereof, upon the |
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| May 4, 2012 |
Entry into a Material Definitive Agreement - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2012 (April 30, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 |
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| March 28, 2012 |
Changes in Registrant's Certifying Accountant - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2012 (March 26, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-131 |
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| March 28, 2012 |
EXHIBIT 16.1 RBSM LLP NEW YORK, NY March 28, 2012 Securities and Exchange Commission 100 F Street, N.W. Washington, DC 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Axion International Holdings, Inc.’s (the “Company”) Form 8-K dated March 28, 2012, and are in agreement with the statements relating only to RBSM LLP contained therein. We have no basis to agree or disagree with other stateme |
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| March 8, 2012 |
Issuer Free Writing Prospectus Issuer Free Writing Prospectus Filed Pursuant to Rule 433 Registration Statement No. |
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| March 7, 2012 |
Subsidiaries of Axion International Holdings, Inc. EXHIBIT 22.1 Subsidiaries of Axion International Holdings, Inc. Axion International, Inc. ASI of Puerto Rico, Inc. Survey Holdings of Texas |
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| March 7, 2012 |
As filed with the Securities and Exchange Commission on March 7, 2012 Registration No. |
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| March 6, 2012 |
Axion International Reports 2011 Results Revenues up 149%, and Current Order Backlog of $7.2 Million Exhibit 99.1 Axion International Reports 2011 Results Revenues up 149%, and Current Order Backlog of $7.2 Million NEW PROVIDENCE, N.J. – March 6, 2011 – Axion International Holdings, Inc. (OTCBB: AXIH) (“Axion” or “the Company”), a leader in recycled plastic and plastic composite technologies used to produce ECOTRAX™ rail ties and STRUXURE™ building products, today announced its operational and fi |
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| March 6, 2012 |
Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) (March 6, 2012) AXION INTERNATIONAL HOLDINGS, INC. (Exact name of registrant as specified in its charter) Colorado (State or other jurisdiction of incorporation) 0-13111 (Commission Fi |
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| February 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. 1) Axion International Holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 05462D101 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 10, 2012 |
As filed with the Securities and Exchange Commission on February 10, 2012 Registration No. |
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| February 10, 2012 |
Subsidiaries of Axion International Holdings, Inc. EXHIBIT 22.1 Subsidiaries of Axion International Holdings, Inc. Axion International, Inc. ASI of Puerto Rico, Inc. Survey Holdings of Texas |
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| February 9, 2012 |
AXIH / Axion International Holdings, Inc. / ROSE SAMUEL G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d – 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d - 1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d - 2 Axion International Holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 05462D101 (CUSIP Number) April 1, 2011 (Date of Event, Whic |
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| February 9, 2012 |
EXHIBIT 1 JOINT FILING AGREEMENT The undersigned hereby agree that this Statement on Schedule 13G with respect to the beneficial ownership of shares of Common Stock, no par value, of Axion International Holdings, Inc. is filed jointly, on behalf of each of them. Dated: January 31, 2012 /s/ Samuel G. Rose - Samuel G. Rose /s/ Julie Walters - Julie Walters |
