SEC Form 4 · accession 0001144204-15-021178
AXION INTERNATIONAL HOLDINGS, INC. · AXIH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Fallon
Officer — Chief Financial Officer
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 4:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000753048
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $0.30 | Apr 1, 2015 | A | 500,000 | A | Jul 1, 2015 | Apr 1, 2020 | Common Stock | 500,000 | 500,000 | D |
| Stock Options | $1.30 | holding | — | — | — | Jun 8, 2011 | Jun 8, 2016 | Common Stock | 125,000 | 125,000 | D |
| Stock Options | $1.30 | holding | — | — | — | Jun 8, 2012 | Jun 8, 2016 | Common Stock | 125,000 | 125,000 | D |
| Stock OptionsF1 | $1.75 | holding | — | — | — | — | Jun 8, 2016 | Common Stock | 125,000 | 125,000 | D |
| Stock OptionsF2 | $2.00 | holding | — | — | — | — | Jun 8, 2016 | Common Stock | 125,000 | 125,000 | D |
Explanation of responses
- F1Becomes vested and exercisable when AXIH achieves $20 million in sales during any fiscal year.
- F2Becomes vested and exercisable when AXIH achieves $50 million in sales during any fiscal year.