0001213900-19-018052.txt : 20190913 0001213900-19-018052.hdr.sgml : 20190913 20190913202133 ACCESSION NUMBER: 0001213900-19-018052 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: Xue J. Simon CENTRAL INDEX KEY: 0001531104 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32898 FILM NUMBER: 191093535 MAIL ADDRESS: STREET 1: 3353 ROBERT BURNS DRIVE CITY: RICHFIELD STATE: OH ZIP: 44286 FORMER NAME: FORMER CONFORMED NAME: Xue Simon DATE OF NAME CHANGE: 20110926 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 OWNERSHIP DOCUMENT X0306 4 2019-08-23 0 0001117171 CBAK Energy Technology, Inc. CBAT 0001531104 Xue J. Simon BAK INDUSTRIAL PARK, MEIGUI STREET HUAYUANKOU ECONOMIC ZONE DALIAN F4 116450 CHINA 1 0 0 0 Restricted Share Units 2019-08-23 4 A 0 20000 0 A Common Stock 20000 20000 D On August 23, 2019, pursuant to the CBAK Energy Technology, Inc. 2015 Equity Incentive Plan, the company granted 20,000 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/ J. Simon Xue 2019-09-13