8-K 1 v214285_8k.htm Unassociated Document
 
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 9, 2011
 
CHINA BAK BATTERY, INC.
 
(Exact name of registrant as specified in its charter)

Nevada
  
001-32898
  
86-0442833
(State or other jurisdiction
 of incorporation)
  
(Commission File No.)
  
(IRS Employer
 Identification No.)

BAK Industrial Park, No. 1 BAK Street
Kuichong Town, Longgang District
Shenzhen, 518119
People’s Republic of China
(Address, including zip code, of principal executive offices)
 
(86-755) 8977-0093
(Registrant’s telephone number, including area code)
 
Not applicable
(Former name or former address, if changed since last report)
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
 
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
   
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
   
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
   
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
   
 

 
 
 
 
Item 5.07    Submission of Matters to a Vote of Security Holders

 
On March 9, 2011, China BAK Battery, Inc. (the “Company”) held its annual meeting of stockholders pursuant to notice duly given. There was no solicitation in opposition to management’s nominees as listed in its proxy statement and all such nominees were elected to the class of directors. In addition, the stockholders ratified the appointment of PKF as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 2011. The proposal to ratify the appointment of PKF was a routine matter and, therefore, there were no broker non-votes relating to that matter.  Additionally, the stockholders approved, on an advisory basis, the compensation of the Company’s named executive officers as disclosed under “Compensation Discussion and Analysis”, the accompanying compensation tables, and the related narrative disclosure in the proxy statement provided in connection with the annual meeting.  The stockholders also approved, on an advisory basis, that the preferred frequency with which the Company would hold a non-binding advisory stockholder vote to approve the compensation of the named executive officers, as disclosed in the Company’s proxy statements, is three years. The results of the voting for each of these proposals were as follows:
 
1.
Election of Directors:
 
             
 
  
For
  
Withheld
  
Broker
Non-Votes
         
Xiangqian Li
  
24,769,756
 
  
536,566
 
  
32,827,525
 
Huanyu Mao
  
24,766,608
 
  
539,714
 
  
32,827,525
 
Richard B. Goodner
  
24,822,713
 
  
483,609
 
  
32,827,525
 
Chunzhi Zhang
  
24,832,371
 
  
473,951
 
  
32,827,525
 
Charlene Spoede Budd
  
24,782,761
 
  
523,561
 
  
32,827,525
 
 
2.
Proposal to Ratify the Appointment of PKF:
 
     
For:
  
45,010,536
 
   
Against:
  
1,060,193
 
   
Abstain:
  
295,987
 
 

3.
Proposal to approve, on an advisory basis, the compensation of the Company’s named executive officers as disclosed under “Compensation Discussion and Analysis”, the accompanying compensation tables, and the related narrative disclosure in the proxy statement provided in connection with the annual meeting:

     
For:
  
24,450,105
 
   
Against:
  
732,106
 
   
Abstain:
  
127,110
 
   
Broker Non-Votes:
  
32,824,526
 

 
 
 
 
4.
Proposal to approve, on an advisory basis, the preferred frequency with which the Company would hold a non-binding advisory stockholder vote to approve the compensation of the named executive officers, as disclosed in the Company’s proxy statements:


 
3 Years
2 Years
1 Year
Abstain
 
19,921,064
671,352
4,568,618
147,557
Broker Non-Votes
38,065,226
 
38,260,351
 
34,363,085
 
N/A
 

 
 
 
SIGNATURE
 
          Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
 
CHINA BAK BATTERY, INC.
     
     
          Date: March 14, 2011
By:
/s/ Marcus Cui
   
Marcus Cui
   
Interim Chief Financial Officer