Filing Details
- Accession Number:
- 0001354488-11-000882
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-18 20:45:20
- Reporting Period:
- 2009-10-29
- Filing Date:
- 2011-03-18
- Accepted Time:
- 2011-03-18 20:45:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 753048 | Axion International Holdings Inc. | AXIH | Plastics Foam Products (3086) | 840846389 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1205074 | Richard Rosenblum | 850 Third Avenue Suite 1801 New York NY 10022 | No | No | Yes | No | |
| 1320581 | David Stefansky | 850 Third Avenue Suite 1801 New York NY 10022 | Yes | No | No | No | |
| 1400704 | Harborview Master Fund Lp | 850 Third Avenue Suite 1801 New York NY 10022 | No | No | No | Yes | |
| 1492019 | Harborview Advisors, Llc | 850 Third Avenue Suite 1801 New York NY 10022 | No | No | No | Yes | |
| 1492020 | Harborview Capital Management, Llc | 850 Third Avenue Suite 1801 New York NY 10022 | No | No | No | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2009-10-29 | 10,000 | $2.87 | 1,441,578 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. See footnotes |
| Common Stock | Acquisiton | 2009-10-29 | 5,600 | $2.84 | 1,447,178 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Acquisiton | 2009-10-29 | 5,000 | $2.84 | 1,452,178 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Acquisiton | 2009-11-04 | 4,100 | $2.85 | 1,456,278 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Acquisiton | 2009-11-10 | 5,000 | $2.96 | 1,461,278 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Acquisiton | 2009-12-03 | 10,000 | $2.14 | 1,471,278 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-03 | 500 | $2.54 | 430,300 | No | 4 | S | Indirect | By Harborview Capital Management, LLC See footnotes |
| Common Stock | Acquisiton | 2009-12-04 | 5,000 | $2.10 | 1,476,278 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-04 | 500 | $2.55 | 429,800 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Disposition | 2009-12-04 | 1,290 | $2.14 | 1,474,988 | No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-07 | 500 | $2.40 | 429,300 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Disposition | 2009-12-08 | 500 | $2.30 | 428,800 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Acquisiton | 2009-12-09 | 4,000 | $2.45 | 1,478,988 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-11 | 200 | $2.82 | 1,478,788 | No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-17 | 1,800 | $2.75 | 427,000 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Disposition | 2009-12-18 | 1,800 | $2.75 | 425,200 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Disposition | 2009-12-21 | 1,800 | $2.60 | 423,400 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Acquisiton | 2009-12-24 | 5,000 | $2.47 | 1,483,788 | No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-28 | 5,694 | $2.85 | 1,478,094 | No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-28 | 1,600 | $2.82 | 1,476,494 | No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-29 | 1,440 | $2.50 | 421,960 | No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| Common Stock | Disposition | 2009-12-29 | 1,806 | $2.85 | 1,474,688 | No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| Common Stock | Disposition | 2009-12-30 | 17,700 | $2.96 | 1,456,988 | No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. See footnotes |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC See footnotes |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | P | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Capital Management, LLC |
| No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
| No | 4 | S | Indirect | By Harborview Master Fund, L.P. |
Footnotes
- This statement is jointly filed by and on behalf of each of Harborview Master Fund, L.P. ("Harborview Master Fund"), Harborview Advisors, LLC ("Harborview Advisors"), Harborview Capital Management, LLC ("Harborview Capital Management"), Richard Rosenblum and David Stefansky. Harborview Master Fund and Harborview Capital Management are the direct beneficial owners of the securities covered by this report. Harborview Advisors is the general partner of Harborview Master Fund and may be deemed to beneficially own securities owned by Harborview Master Fund. Richard Rosenblum and David Stefansky are the controlling persons of Harborview Advisors and Harborview Capital Management and may be deemed to beneficially own securities owned by such entities.
- Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
- Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issue.
- Many of the purchases and sales reported in this and certain other Form 4's were matchable under Section 16(b) of the Securities Act of 1934, as amended. The reporting persons have paid to the issuer $55,847.44, the aggregate amount of the liability incurred (which amount excludes transaction costs).
Billionaire Hedge Funds
