0001213900-22-062971.txt : 20221011 0001213900-22-062971.hdr.sgml : 20221011 20221011062541 ACCESSION NUMBER: 0001213900-22-062971 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220422 FILED AS OF DATE: 20221011 DATE AS OF CHANGE: 20221011 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: 221302173 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 2022-04-22 0 0001117171 CBAK Energy Technology, Inc. CBAT 0001668641 Li Yunfei BAK INDUSTRIAL PARK, MEIGUI STREET HUAYUANKOU ECONOMIC ZONE DALIAN F4 116450 CHINA 1 1 1 0 CEO Stock Option (right to buy) 1.96 2022-04-22 4 A 0 40000 0 A 2027-09-29 Common Stock 40000 40000 D On November 29, 2021, the reporting person was granted an option to purchase 200,000 shares of common stock. The option vests in 10 equal semi-annual installments based on the CBAT's satisfaction of certain performance criteria for each of the fiscal year ending December 31, 2021, 2022, 2023, 2024 and 2025. The performance criteria for 2021 were met, resulting in vesting of the option as to 20,000 shares on May 30, 2022 and 20,000 shares on November 30, 2022. /s/ Yunfei Li 2022-10-11