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