0001213900-19-018021.txt : 20190913 0001213900-19-018021.hdr.sgml : 20190913 20190913171001 ACCESSION NUMBER: 0001213900-19-018021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190823 FILED AS OF DATE: 20190913 DATE AS OF CHANGE: 20190913 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Li Yunfei CENTRAL INDEX KEY: 0001668641 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32898 FILM NUMBER: 191093195 MAIL ADDRESS: STREET 1: BAK INDUSTRIAL PARK, MEIGUI STREET STREET 2: HUAYUANKOU ECONOMIC ZONE CITY: DALIAN STATE: F4 ZIP: 116422 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CBAK Energy Technology, Inc. CENTRAL INDEX KEY: 0001117171 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 880442833 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: BAK INDUSTRIAL PARK, MEIGUI STREET STREET 2: HUAYUANKOU ECONOMIC ZONE CITY: DALIAN STATE: F4 ZIP: 116422 BUSINESS PHONE: (86)(411)6251-0619 MAIL ADDRESS: STREET 1: BAK INDUSTRIAL PARK, MEIGUI STREET STREET 2: HUAYUANKOU ECONOMIC ZONE CITY: DALIAN STATE: F4 ZIP: 116422 FORMER COMPANY: FORMER CONFORMED NAME: CHINA BAK BATTERY INC DATE OF NAME CHANGE: 20050214 FORMER COMPANY: FORMER CONFORMED NAME: MEDINA COFFEE INC DATE OF NAME CHANGE: 20000626 4 1 ownership.xml X0306 4 2019-08-23 0 0001117171 CBAK Energy Technology, Inc. CBAK 0001668641 Li Yunfei BAK INDUSTRIAL PARK, MEIGUI STREET HUAYUANKOU ECONOMIC ZONE DALIAN F4 116450 CHINA 1 1 1 0 CEO COMMON STOCK 2019-09-04 4 P 0 2938067 1.05 A 8530752 D Restricted Share Units 2019-08-23 4 A 0 400000 0 A Common Stock 400000 400000 D On September 4, 2019, the Reporting Person acquired 2,938,067 shares of common stock of the Issuer by cancelling a loan of $3.08 million that the Issuer owed to the Reporting Person, at the exchange price of $1.05 per share. On August 23, 2019, pursuant to the CBAK Energy Technology, Inc. 2015 Equity Incentive Plan, the Issuer granted 400,000 restricted share units (the "RSUs") to the Reporting Person. Each RSU represents a contingent right to receive one share of common stock. The RSUs vest semi-annually in six equity installments over a three year period with the first vesting on September 30, 2019. /s/ Yunfei Li 2019-09-13