0001213900-23-071754.txt : 20230829
0001213900-23-071754.hdr.sgml : 20230829
20230829163011
ACCESSION NUMBER: 0001213900-23-071754
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230822
FILED AS OF DATE: 20230829
DATE AS OF CHANGE: 20230829
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Li Jiewei
CENTRAL INDEX KEY: 0001991640
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32898
FILM NUMBER: 231222292
MAIL ADDRESS:
STREET 1: CBAK INDUSTRIAL PARK, MEIGUI STREET
STREET 2: HUAYUANKOU ECONOMIC ZONE
CITY: DALIAN CITY, LIAONING PROVINCE
STATE: F4
ZIP: 116450
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
3
1
ownership.xml
X0206
3
2023-08-22
0
0001117171
CBAK Energy Technology, Inc.
CBAT
0001991640
Li Jiewei
BAK INDUSTRIAL PARK, MEIGUI STREET
HUAYUANKOU ECONOMIC ZONE
DALIAN
F4
116450
CHINA
0
1
0
0
CFO
Common Stock
5000
D
Restricted Share Units
Common Stock
5000
D
Options
Common Stock
20000
D
Options
Common Stock
4000
D
Representing 5,000 restricted share units granted under the Company's 2015 Equity Incentive Plan that have vested.
Representing 5,000 restricted share units granted under the Company's 2015 Equity Incentive Plan that will vest on December 31, 2023.
Representing an option to purchase 20,000 shares of common stock granted under the Company's 2015 Equity Incentive Plan, which will vest on June 30 and December 31 of 2024 and 2025 in four equal installments.
On November 29, 2021, the reporting person was granted an option to purchase 20,000 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 2,000 shares on May 30, 2022 and 2,000 shares on November 30, 2022. The performance criteria for 2022 were not met, and thus, no portion of the option was vested in 2023.
/s/ Jiewei Li
2023-08-29